Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
PAUL RICHARD RIED
CRD#: 1522408
IA
B
PAUL R. RIED FINANCIAL GROUP, LLCCRD#: 297284 10801 MAIN STREET
SUITE 201
BELLEVUE, WA 98004-6366
SUITE 201
BELLEVUE, WA 98004-6366
View By:
11/13/1995
Customer Dispute
Settled
State Registrations
IA
Texas 8/17/2018
IA
Washington 8/23/2018
IA
Registered with this firm since 8/17/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2023 - 10/29/2024 | BELLEVUE, WA | |
B | 07/23/1986 - 10/29/2024 | BELLEVUE, WA | |
IA | 02/10/1995 - 06/29/2023 | BELLEVUE, WA |
For additional information about investment advisers or broker-dealers, please visit
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.