Individual Firm
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KEVNE LEA SHARPE
KEVNE LEA STOCK, KEVNE THOMPSON
CRD#: 1545866
IA
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MARINER WEALTHCRD#: 140195 8871 Ridgeline Blvd.
Ste. 100
Highlands Ranch, CO 80129
Ste. 100
Highlands Ranch, CO 80129
View By:
5/6/2003
Customer Dispute
Denied
State Registrations
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Colorado 8/9/2022
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Registered with this firm since 8/9/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2020 - 08/02/2022 | ENGLEWOOD, CO | |
B | 05/28/2020 - 08/02/2022 | ENGLEWOOD, CO | |
IA | 09/13/2017 - 07/17/2020 | GREENWOOD VILLAGE, CO | |
B | 09/13/2017 - 07/17/2020 | GREENWOOD VILLAGE, CO | |
IA | 04/25/2014 - 09/21/2017 | LITTLETON, CO | |
B | 10/16/2013 - 07/26/2017 | ELKHORN, NE | |
B | 11/12/2012 - 05/15/2013 | ENGLEWOOD, CO | |
IA | 11/13/2012 - 05/14/2013 | ENGLEWOOD, CO | |
B | 06/06/2011 - 08/03/2012 | EL SEGUNDO, CA | |
B | 01/06/2010 - 02/08/2011 | SAN DIEGO, CA | |
B | 09/05/2008 - 11/06/2009 | GRAPEVINE, TX | |
B | 06/25/2003 - 09/03/2008 | ORLANDO, FL | |
B | 02/15/1994 - 06/10/2003 | MINNEAPOLIS, MN | |
B | 02/15/1994 - 06/10/2003 | MINNEAPOLIS, MN | |
B | 08/17/1993 - 02/14/1994 | CLEVELAND, OH | |
B | 01/15/1991 - 11/25/1992 | CLEVELAND, OH | |
B | 12/17/1986 - 06/05/1990 | MINNEAPOLIS, MN | |
B | 08/19/1986 - 11/24/1986 |
GRAPEVINE, TX
09/05/2008 - 11/06/2009
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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.