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MaryAngela M Hicks
MARY ANGELA HICKS, MARY ANGELA M HICKS, MARY ANGELA MARTELLI, MARY ANGELA M MARTELLI
CRD#: 1913000
IA
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KEY INVESTMENT SERVICES LLCCRD#: 136300 275 Andover Park W.
Seattle, WA 98188
Seattle, WA 98188
View By:
6/15/2016
Customer Dispute
Settled
State Registrations
B
Washington 1/18/2006
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Washington 7/6/2022
SRO Registrations
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Registered with this firm since 7/6/2022
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Registered with this firm since 1/18/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/18/2004 - 01/18/2006 | BURIEN, WA | |
B | 09/03/1997 - 10/23/1997 | SAINT PAUL, MN | |
B | 08/28/1996 - 09/03/1997 | PORTLAND, OR | |
B | 06/02/1993 - 09/07/1994 | PORTLAND, OR | |
B | 04/06/1993 - 06/02/1993 | IRVINE, CA | |
B | 02/01/1991 - 04/21/1993 | GLEN ALLEN, VA | |
B | 01/18/1989 - 02/04/1991 |
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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.