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LOUIS LEE HAGGIN IV
CRD#: 1129265
IA
B
SUNBELT SECURITIESCRD#: 42180 2365 Harrodsburg Road, Suite B100
Lexington, KY 40504
Lexington, KY 40504
0
Disclosures
35
Years of Experience
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State Registrations
B
Illinois 9/20/2019
B
South Carolina 9/20/2019
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Kentucky 9/17/2019
B
Tennessee 9/20/2019
B
Kentucky 9/26/2019
B
Texas 9/20/2019
B
North Carolina 9/26/2019
SRO Registrations
B
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Registered with this firm since 9/17/2019
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Registered with this firm since 9/17/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/31/1991 - 09/26/2019 | LEXINGTON, KY | |
IA | 03/16/2011 - 01/08/2019 | LEXINGTON, KY | |
B | 06/22/1983 - 10/05/1984 |
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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.