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DAVID MARK DEFAZIO
CRD#: 1819898
IA
B
LINCOLN INVESTMENTCRD#: 519 4402 PEACH ST
SUITE 1 NORTH
ERIE, PA 16509
SUITE 1 NORTH
ERIE, PA 16509
0
Disclosures
36
Years of Experience
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State Registrations
B
Arizona 1/3/2022
B
Ohio 5/10/2013
B
District of Columbia 5/10/2013
B
Pennsylvania 5/10/2013
B
Florida 5/10/2013
IA
Pennsylvania 5/10/2013
B
Illinois 8/20/2024
B
South Carolina 6/13/2014
B
New York 5/10/2013
B
West Virginia 9/12/2018
B
North Carolina 1/4/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/10/2013
B
Registered with this firm since 5/10/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/2006 - 05/13/2013 | ERIE, PA | |
B | 01/01/1994 - 05/13/2013 | ERIE, PA | |
B | 06/27/1988 - 01/01/1994 | PALM BEACH GARDENS, FL |
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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.