Individual Firm
ALHAMBRA, CA 91801
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SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/17/2015 - 03/07/2022 | MONTEREY PARK, CA | |
B | 04/17/2015 - 03/07/2022 | MONTEREY PARK, CA | |
IA | 10/23/2009 - 04/21/2015 | PASADENA, CA | |
B | 10/23/2009 - 04/21/2015 | PASADENA, CA | |
IA | 04/13/2006 - 10/23/2009 | ALHAMBRA, CA | |
B | 04/13/2006 - 10/23/2009 | ALHAMBRA, CA | |
IA | 12/01/2003 - 04/25/2006 | LOS ANGELES, CA | |
B | 11/26/2003 - 04/25/2006 | LOS ANGELES, CA | |
B | 09/26/2002 - 11/24/2003 | IRVINE, CA | |
B | 07/25/2000 - 10/02/2002 | PASADENA, CA | |
B | 03/22/1999 - 08/09/2000 | NEWARK, NJ | |
B | 04/21/1998 - 05/05/1998 | OAKDALE, MN |
The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.
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A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
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