Individual Firm
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BRIAN STUART JOLLES
CRD#: 1244218
IA
B
TURNING POINT FINANCIALCRD#: 301282 7210 CORPORATE CT.
STE A
FREDERICK, MD 21703
STE A
FREDERICK, MD 21703
0
Disclosures
34
Years of Experience
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State Registrations
IA
Maryland 1/19/2024
IA
Registered with this firm since 1/19/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/21/2019 - 01/22/2024 | Ellicott City, MD | |
B | 06/21/2019 - 01/22/2024 | Ellicott City, MD | |
IA | 01/29/2019 - 06/25/2019 | Ellicott City, MD | |
B | 01/29/2019 - 06/25/2019 | Ellicott City, MD | |
IA | 03/28/2013 - 02/01/2019 | ELLICOTT CITY, MD | |
B | 03/28/2013 - 02/01/2019 | ELLICOTT CITY, MD | |
IA | 01/04/2007 - 04/16/2013 | ELLICOTT CITY, MD | |
B | 07/07/2004 - 04/16/2013 | ELLICOTT CITY, MD | |
B | 03/24/2000 - 07/01/2004 | SEVERNA PARK, MD | |
B | 01/28/1997 - 03/07/2000 | NEW YORK, NY | |
B | 01/28/1997 - 01/05/2000 | NEW YORK, NY | |
B | 01/01/1994 - 12/04/1996 | ST. PAUL, MN | |
B | 09/29/1986 - 01/28/1988 | ||
B | 02/23/1984 - 12/15/1986 |
NEW YORK, NY
01/28/1997 - 01/05/2000
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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.