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THOMAS LESLIE SHERWOOD
CRD#: 1262063
IA
B
ADVISORS ASSET MANAGEMENT, INC.CRD#: 46727 28025 IH-10 WEST
BOERNE, TX 78006
BOERNE, TX 78006
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7/16/2003
Customer Dispute
Settled
7/16/2003
Customer Dispute
Settled
7/16/2003
Customer Dispute
Settled
7/16/2003
Customer Dispute
Settled
7/16/2003
Customer Dispute
Settled
9/6/2002
Regulatory
Final
State Registrations
B
Texas 4/12/2006
IA
Texas 4/12/2006
SRO Registrations
B
B
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IA
Registered with this firm since 4/12/2006
B
Registered with this firm since 1/17/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/27/2002 - 12/31/2003 | EL SEGUNDO, CA | |
IA | 01/20/1999 - 08/09/2002 | MISHAWAKA, IN | |
B | 12/18/1986 - 08/09/2002 | CLEVELAND, OH | |
B | 05/23/1984 - 11/05/1984 |
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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.
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.