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CHARLES DOMINIC VERCELLONE
CHARLES D VERCELLONE
CRD#: 1310964
IA
B
SPCCRD#: 110692 200 EAST BIG BEAVER
TROY, MI 48083
TROY, MI 48083
SIGMA FINANCIAL CORPORATIONCRD#: 14303 200 EAST BIG BEAVER
TROY, MI 48083
TROY, MI 48083
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11/8/2004
Customer Dispute
Settled
State Registrations
B
California 5/21/2015
B
Michigan 3/10/1999
B
Florida 3/10/1999
IA
Michigan 1/29/2010
B
Indiana 1/15/2019
SRO Registrations
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
Registered with this firm since 3/10/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/06/1997 - 03/19/1999 | HARPER WOODS, MI | |
B | 03/08/1995 - 11/11/1997 | ||
B | 09/08/1997 - 09/23/1997 | WINDSOR, CT | |
B | 07/10/1989 - 03/15/1995 | NEW YORK, NY | |
B | 01/07/1985 - 06/29/1989 | NEW YORK, NY | |
B | 01/07/1985 - 06/29/1989 | NEW YORK, NY |
NEW YORK, NY
01/07/1985 - 06/29/1989
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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.