Individual Firm
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ROY ROLAND SHADBOLT
ROLAND ROY SHADBOLT
CRD#: 1623680
IA
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EQUITABLE ADVISORS, LLCCRD#: 6627 WEST HAVEN, UT
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4/28/1983
Criminal
Final Disposition
State Registrations
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California 6/22/2006
IA
Utah 6/9/2006
B
Utah 6/8/2006
SRO Registrations
B
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/04/1997 - 06/12/2006 | OGDEN, UT | |
B | 03/16/1987 - 06/12/2006 | OGDEN, UT |
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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.