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Detailed Report
JEFFREY ALLAN BROTEN
CRD#: 1006678
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199219941996199820002002200420062008201020122014201620182020IAGUNNALLEN FINANCIAL, INC (CRD# 17609)2006 - 2009 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2006 (4 years)
Disclosure(s)
View By:
10/13/2020
Regulatory
Final
2/6/2020
Regulatory
Final
5/1/1991
Customer Dispute
Award / Judgment
Previous Registration(s)
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 10/24/2006 - 12/24/2009 GUNNALLEN FINANCIAL, INC (CRD#:17609) EATONTOWN, NJ
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 10/25/2002 - 10/23/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHREWSBURY, NJ
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
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. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.