Individual Firm
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SUELLEN CAROL ESTES
SUELLEN C ESTES, SUELLEN CAROL HICKEY, SUELLEN HICKEY, SVELLEN CAROL HICKEY, SUELLEN CAROL HICKEY-ESTES…
CRD#: 1432367
IA
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GREAT LAKES BAY FINANCIALCRD#: 297138 4901 TOWNE CENTRE ROAD
SUITE 113
SAGINAW, MI 48604
SUITE 113
SAGINAW, MI 48604
0
Disclosures
38
Years of Experience
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State Registrations
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Michigan 2/22/2022
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Texas 3/16/2022
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Registered with this firm since 2/22/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/03/2018 - 04/07/2022 | FRANKENMUTH, MI | |
IA | 11/07/2018 - 03/16/2022 | Saginaw, MI | |
IA | 01/27/2014 - 06/08/2018 | SAGINAW, MI | |
B | 01/24/2014 - 06/08/2018 | SAGINAW, MI | |
IA | 08/16/2012 - 01/24/2014 | SAGINAW, MI | |
B | 07/11/2012 - 01/24/2014 | SAGINAW, MI | |
IA | 11/04/2010 - 07/18/2012 | SAGINAW, MI | |
B | 03/16/2009 - 07/18/2012 | SAGINAW, MI | |
B | 09/05/2000 - 04/02/2009 | SAGINAW, MI | |
B | 01/15/1997 - 09/07/2000 | DETROIT, MI | |
B | 02/06/1996 - 01/14/1997 | WINDSOR, CT | |
B | 06/18/1993 - 02/08/1996 | WARREN, MI | |
B | 04/06/1988 - 06/28/1993 | MINNEAPOLIS, MN | |
B | 06/05/1986 - 03/12/1988 | NEW YORK, NY | |
B | 03/20/1986 - 04/28/1986 |
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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.