Individual Firm
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MATTHEW STANLEY LEMPA JR
CRD#: 1212631
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 ROSETREE BUILDING 2
1400 N PROVIDENCE RD, SUITE 3007
MEDIA, PA 19063
1400 N PROVIDENCE RD, SUITE 3007
MEDIA, PA 19063
View By:
3/3/2021
Customer Dispute
Denied
State Registrations
B
Arizona 7/8/2009
B
New Jersey 7/21/2000
B
Colorado 6/8/2022
B
North Carolina 8/30/2021
B
Delaware 7/18/2000
B
Pennsylvania 6/23/2000
B
Florida 3/29/2007
IA
Pennsylvania 3/7/2001
B
Maryland 12/7/2000
B
South Carolina 11/11/2024
SRO Registrations
B
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IA
Registered with this firm since 3/7/2001
B
Registered with this firm since 6/22/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/23/1988 - 02/23/1996 | ST. PAUL, MN | |
B | 03/26/1987 - 12/11/1987 | BOSTON, MA | |
B | 02/03/1984 - 06/14/1986 |
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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.