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MIKE BALKRISHNA SAMANTHA
MIKE SAMANTHA, MUKESH B SAMANTHA, MUKESH BALKRISHNA SAMANTHA, SAWANT SAMANTHA
CRD#: 1111132
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 ONE PARK PLAZA SUITE 600
IRVINE, CA 92614
IRVINE, CA 92614
CETERA ADVISORS LLCCRD#: 10299 ONE PARK PLAZA SUITE 600
IRVINE, CA 92614
IRVINE, CA 92614
0
Disclosures
41
Years of Experience
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State Registrations
B
California 7/6/2006
B
New Jersey 7/6/2006
IA
California 3/21/2024
B
New York 7/6/2006
B
Florida 9/10/2024
B
North Carolina 7/31/2006
B
Nevada 7/6/2006
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 7/6/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/06/2006 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 08/01/2003 - 07/10/2006 | IRVINE, CA | |
B | 08/01/2003 - 07/10/2006 | IRVINE, CA | |
IA | 01/17/2003 - 08/01/2003 | IRVINE, CA | |
B | 07/13/1989 - 08/01/2003 | NEW YORK, NY | |
B | 10/02/1984 - 07/29/1989 | PITTSFIELD, MA | |
B | 07/19/1988 - 07/25/1989 | ||
B | 06/08/1983 - 12/01/1983 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.