Individual Firm
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PAUL EUGENE GUSTAFSON
CRD#: 1707265
IA
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ADVISORY SERVICES NETWORKCRD#: 146051 2360 Nowata Place
Bartlesville, OK 74006
Bartlesville, OK 74006
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7/19/2012
Customer Dispute
Denied
12/29/2008
Customer Dispute
Denied
State Registrations
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Oklahoma 7/8/2019
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Texas 7/8/2019
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Registered with this firm since 7/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/16/1997 - 07/03/2019 | BARTLESVILLE, OK | |
B | 07/29/1996 - 07/03/2019 | BARTLESVILLE, OK | |
B | 06/02/1995 - 07/26/1996 | FORT WAYNE, IN | |
B | 08/18/1994 - 06/05/1995 | DULUTH, GA | |
B | 09/28/1987 - 12/31/1988 |
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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.
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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.