Individual Firm
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BRIAN WILLIAM MOHAN
CRD#: 1549373
IA
B
CALTON & ASSOCIATES, INC.CRD#: 20999 SARASOTA, FL
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1/28/2020
Judgment / Lien
10/29/1993
Customer Dispute
Award / Judgment
State Registrations
B
California 5/29/1998
B
Massachusetts 2/19/1991
B
Colorado 6/24/2008
B
New York 5/17/1989
B
Florida 5/25/1989
B
North Carolina 7/25/2012
IA
Florida 9/7/2011
B
Ohio 2/18/2003
B
Georgia 9/24/2014
B
Pennsylvania 1/8/2008
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/1991 - 12/31/2010 | SARASOTA, FL | |
IA | 01/16/2009 - 01/07/2010 | SARASOTA, FL | |
IA | 05/23/1991 - 12/31/2009 | SARASOTA, FL | |
B | 10/31/1987 - 01/12/1990 | ||
B | 07/01/1988 - 04/04/1989 | ||
B | 08/21/1986 - 12/22/1986 |
SARASOTA, FL
05/23/1991 - 12/31/2010
SARASOTA, FL
05/23/1991 - 12/31/2009
10/31/1987 - 01/12/1990
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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.