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THOMAS JEFFERSON ROUSE
TOM ROUSE
CRD#: 2051898
IA
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CALTON & ASSOCIATES, INC.CRD#: 20999 1333 SE 25th Loop
Suites 101
Ocala, FL 34471
Suites 101
Ocala, FL 34471
0
Disclosures
34
Years of Experience
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State Registrations
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District of Columbia 7/22/2019
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Florida 7/29/2019
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Florida 7/22/2019
SRO Registrations
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Registered with this firm since 7/29/2019
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Registered with this firm since 7/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/11/2010 - 07/31/2019 | TAMPA, FL | |
B | 06/10/2010 - 07/31/2019 | TAMPA, FL | |
IA | 04/30/2009 - 06/21/2010 | TAMPA, FL | |
B | 06/21/2006 - 06/21/2010 | TAMPA, FL | |
B | 01/23/2004 - 06/22/2006 | TAMPA, FL | |
B | 04/23/2001 - 02/11/2004 | NEW YORK, NY | |
B | 05/06/1999 - 03/15/2001 | NEW YORK, NY | |
B | 10/19/1998 - 04/22/1999 | SPRINGFIELD, MA | |
B | 05/14/1990 - 07/24/1998 | NEW YORK, NY |
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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.