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CATHY ANN REINHARDT
CRD#: 1138937
IA
B
INTELLICENTS INVESTMENT SOLUTIONS INCCRD#: 107498 211 EAST 8TH STREET
LAWRENCE, KS 66044
LAWRENCE, KS 66044
MUTUAL SECURITIES, INC.CRD#: 13092 211 E 8th St.
Ste. E
Lawrence, KS 66049
Ste. E
Lawrence, KS 66049
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3/11/2008
Customer Dispute
Settled
9/20/2004
Customer Dispute
Settled
State Registrations
B
Alaska 10/15/2024
B
Montana 8/2/2021
B
Arizona 7/30/2021
B
Nebraska 7/30/2021
B
Arkansas 7/30/2021
B
New Hampshire 7/30/2021
B
California 8/2/2021
B
New Jersey 7/30/2021
B
Colorado 7/30/2021
B
New Mexico 7/30/2021
B
District of Columbia 7/30/2021
B
New York 7/30/2021
B
Florida 7/30/2021
B
North Carolina 7/30/2021
B
Georgia 7/30/2021
B
Ohio 7/30/2021
B
Illinois 8/6/2021
B
Oklahoma 7/30/2021
B
Indiana 8/3/2021
B
Oregon 7/30/2021
B
Iowa 7/30/2021
B
Pennsylvania 3/22/2024
B
Kansas 7/30/2021
B
Rhode Island 7/30/2021
IA
Kansas 8/2/2021
B
South Carolina 8/4/2021
B
Kentucky 7/30/2021
B
Tennessee 7/30/2021
B
Maine 8/2/2021
B
Texas 7/30/2021
B
Maryland 7/30/2021
B
Utah 7/30/2021
B
Massachusetts 7/30/2021
B
Virginia 7/30/2021
B
Michigan 7/30/2021
B
Washington 7/30/2021
B
Minnesota 8/12/2021
B
West Virginia 7/30/2021
B
Missouri 7/30/2021
B
Wisconsin 7/30/2021
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/2/2021
B
Registered with this firm since 7/30/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/01/1999 - 08/02/2021 | LAWRENCE, KS | |
IA | 08/06/1992 - 07/30/2021 | LAWRENCE, KS | |
IA | 08/06/1992 - 12/31/2002 | LAWRENCE, KS | |
B | 04/26/1990 - 07/01/1999 | FAIRFIELD, IA | |
B | 08/05/1991 - 04/09/1999 | FORT WAYNE, IN | |
B | 08/25/1989 - 04/30/1990 | LA JOLLA, CA | |
B | 05/13/1987 - 08/25/1989 | ||
B | 12/19/1986 - 05/26/1987 | ||
B | 10/04/1984 - 12/26/1986 | ||
B | 07/26/1983 - 10/12/1984 |
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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.
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.