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CONSTANCE SUGIMOTO
CONSTANCE E SCHNEEBERGER, CONSTANCE EMI SCHNEEBERGER, CONNIE EMI SUGIMOTO, CONSTANCE EMI SUGIMOTO
CRD#: 1713071
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1512 EUREKA RD 3RD FL
[NE-RBO]
ROSEVILLE, CA 95661
[NE-RBO]
ROSEVILLE, CA 95661
0
Disclosures
35
Years of Experience
View By:
State Registrations
B
Alabama 10/27/2023
B
Missouri 10/27/2023
B
Arizona 1/3/2011
B
Montana 2/14/2025
B
Arkansas 10/27/2023
B
Nevada 1/3/2011
B
California 1/3/2011
B
New Jersey 5/4/2020
IA
California 1/3/2011
B
New York 3/22/2011
B
Colorado 1/3/2011
B
North Carolina 4/22/2024
B
Connecticut 3/22/2011
B
Oregon 1/3/2011
B
Florida 1/12/2021
B
Pennsylvania 4/22/2024
B
Hawaii 1/3/2011
B
Tennessee 6/6/2016
B
Idaho 1/3/2011
B
Texas 1/3/2011
B
Illinois 8/11/2017
IA
Texas 11/3/2016
B
Indiana 8/17/2021
B
Utah 9/8/2020
B
Kansas 12/3/2021
B
Virginia 10/27/2023
B
Maryland 3/22/2011
B
Washington 3/22/2011
B
Michigan 10/27/2023
B
Wisconsin 4/8/2020
B
Minnesota 3/15/2022
B
Wyoming 6/18/2015
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/10/2007 - 01/03/2011 | ROSEVILLE, CA | |
B | 04/10/2007 - 01/03/2011 | ROSEVILLE, CA | |
IA | 11/23/2004 - 04/04/2007 | ROSEVILLE, CA | |
B | 11/24/2004 - 04/04/2007 | ROSEVILLE, CA | |
IA | 07/08/1997 - 03/11/2004 | SACRAMENTO, CA | |
B | 04/08/1993 - 03/11/2004 | WEEHAWKEN, NJ | |
B | 01/04/1993 - 03/02/1993 | NEW YORK, NY | |
B | 06/22/1988 - 12/22/1992 | SACRAMENTO, CA |
For additional information about investment advisers or broker-dealers, please visit
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.