Individual Firm
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JONATHAN AVERILLE WOLFSOHN
CRD#: 1245652
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 151 BROADWAY
LYNBROOK, NY 11563
LYNBROOK, NY 11563
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 151 BROADWAY
LYNBROOK, NY 11563
LYNBROOK, NY 11563
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1/29/2015
Customer Dispute
Denied
State Registrations
B
California 10/15/2010
B
New York 8/5/2010
B
Florida 12/18/2019
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New York 3/5/2021
B
New Jersey 10/5/2010
B
Pennsylvania 12/8/2021
SRO Registrations
B
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IA
Registered with this firm since 8/23/2016
B
Registered with this firm since 8/5/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/12/2002 - 07/16/2010 | WOODBURY, NY | |
B | 10/01/1995 - 05/02/2001 | WINDSOR, CT | |
B | 04/16/1984 - 10/01/1995 | SEATTLE, WA |
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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.