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9 Nov 2023, 9:01 pm
Definition of a “Dealer” Under the Securities Exchange Act Section 3(a)(5)(a) of the Exchange Act defines a dealer as, “any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise. [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
8 Nov 2023, 10:14 pm
For investors, this rule means that they can expect their broker-dealer to take into account their specific investment profile before making any recommendations. [read post]
8 Nov 2023, 2:00 pm
Kevin Hobbs (Kevin Andrew Hobbs CRD# 4267482) is a previously registered broker whose only employer was PFS Investments Inc. [read post]
8 Nov 2023, 9:24 am
Inc. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
6 Nov 2023, 9:46 am
Previously, he was registered with The Strategic Financial Alliance, Inc. [read post]
2 Nov 2023, 6:55 am
This includes non-broker jobs such as administrative or accounting work. [read post]
2 Nov 2023, 6:36 am
His previous employers include Raymond James & Associates, Inc. [read post]
1 Nov 2023, 12:38 pm
It’s especially problematic in taxable accounts, as the gains are subject to tax. [read post]
1 Nov 2023, 8:28 am
The findings stated that FINRA sent a request to Smith to produce information and documents, including bank and brokerage account statements. [read post]
26 Oct 2023, 8:53 am
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
26 Oct 2023, 8:35 am
World Group Securities, Inc. [read post]
26 Oct 2023, 7:49 am
Daniel Santos PFS Investments Inc. [read post]
25 Oct 2023, 12:49 pm
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
25 Oct 2023, 12:36 pm
Andrew Grezlak Cambridge Investment Research, Inc. [read post]
25 Oct 2023, 12:29 pm
Amsouth Investment Services, Inc. [read post]
25 Oct 2023, 8:30 am
Inc. [read post]
25 Oct 2023, 8:05 am
Truist Investment Services, Inc. [read post]
25 Oct 2023, 7:36 am
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
