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FRANK RICHARD VOLKERS
Frank R Volkers
CRD#: 1671838
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2335 E Margaret Dr
Terre Haute, IN 47802
Terre Haute, IN 47802
0
Disclosures
37
Years of Experience
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State Registrations
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Florida 11/26/2018
B
Indiana 11/26/2018
B
Illinois 11/26/2018
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Indiana 11/26/2018
SRO Registrations
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Registered with this firm since 11/26/2018
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Registered with this firm since 11/26/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2001 - 02/01/2019 | TERRE HAUTE, IN | |
B | 12/02/1996 - 12/21/2018 | TERRE HAUTE, IN | |
B | 07/22/1987 - 12/02/1996 | LOUISVILLE, KY |
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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.
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.