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SANDRA K NEWBERRY
SANDRA KAY NEWBERRY, SANDRA PHILLIPS NEWBERRY, SANDRA K PHILLIPS
CRD#: 1947641
IA
B
OPPENHEIMER & CO. INC.CRD#: 249 10 BROOK STREET
SUITE 290
ASHEVILLE, NC 28803
SUITE 290
ASHEVILLE, NC 28803
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Alaska 7/23/2018
B
Missouri 7/23/2018
B
Delaware 7/23/2018
B
North Carolina 2/1/2018
B
Florida 7/23/2018
IA
North Carolina 2/1/2018
B
Georgia 7/23/2018
B
South Carolina 7/23/2018
B
Kansas 11/29/2022
B
Texas 7/23/2018
B
Massachusetts 6/1/2018
B
Virginia 7/23/2018
B
Michigan 6/1/2018
B
Wisconsin 7/23/2018
B
Minnesota 7/23/2018
SRO Registrations
B
B
B
B
B
B
B
B
B
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Registered with this firm since 2/1/2018
B
Registered with this firm since 2/1/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/29/2017 - 01/19/2018 | ASHEVILLE, NC | |
B | 10/18/2011 - 01/19/2018 | ASHEVILLE, NC | |
B | 02/23/2010 - 10/17/2011 | ASHEVILLE, NC | |
B | 04/25/2007 - 03/27/2009 | TAMPA, FL | |
B | 11/17/2003 - 05/03/2007 | ASHEVILLE, NC | |
B | 06/15/2002 - 02/21/2003 | ST. LOUIS, MO | |
B | 02/14/2000 - 06/15/2002 | CHARLOTTE, NC |
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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.
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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.