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JOHN S. ROUTH
JOHN SYLVESTER ROUTH III, JOHN SYLVESTER ROUTH
CRD#: 1013391
IA
B
MORGAN STANLEYCRD#: 149777 850 Morrison Drive
Suite 800
Charleston, SC 29403
Suite 800
Charleston, SC 29403
0
Disclosures
36
Years of Experience
View By:
State Registrations
B
California 8/17/2012
B
New Jersey 5/8/2012
B
Colorado 9/4/2018
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New Jersey 5/24/2012
B
Connecticut 8/17/2012
B
New York 5/24/2012
B
District of Columbia 2/16/2022
B
Pennsylvania 12/16/2020
B
Florida 8/17/2012
B
South Carolina 9/19/2012
B
Georgia 4/29/2016
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South Carolina 6/22/2017
B
Maine 5/24/2016
B
Utah 3/5/2021
B
Massachusetts 4/17/2013
B
Virginia 8/17/2012
B
Michigan 7/6/2021
B
Washington 11/23/2021
B
New Hampshire 10/2/2020
B
Wisconsin 3/29/2019
SRO Registrations
B
B
B
B
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Registered with this firm since 5/24/2012
B
Registered with this firm since 5/3/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/15/2003 - 03/15/2005 | NEW YORK, NY | |
B | 12/11/1987 - 07/22/2003 | NEW YORK, NY | |
B | 11/13/1981 - 01/01/1988 |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.