Individual Firm
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CARL ELLIOTT FLEISHER
CRD#: 209661
IA
B
DAVENPORT & COMPANY LLCCRD#: 1588 10 FRANKLIN ROAD SE SUITE 450
ROANOKE, VA 24011
ROANOKE, VA 24011
View By:
9/10/2004
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 12/19/2008
B
New Jersey 12/19/2008
B
Alaska 12/19/2008
B
New York 12/19/2008
B
Arizona 12/19/2008
B
North Carolina 12/19/2008
B
California 8/5/2013
B
Rhode Island 12/19/2008
B
Colorado 3/15/2016
B
South Carolina 12/19/2008
B
Delaware 8/14/2018
B
Tennessee 2/1/2021
B
Florida 12/19/2008
B
Texas 12/19/2008
B
Georgia 12/19/2008
IA
Texas 11/7/2023
B
Kentucky 8/21/2015
B
Virginia 12/19/2008
B
Louisiana 12/17/2010
IA
Virginia 12/19/2008
B
Maryland 12/19/2008
B
Washington 2/19/2010
B
Minnesota 4/24/2024
B
West Virginia 3/29/2010
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 12/19/2008
B
Registered with this firm since 12/19/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 01/09/2009 | ROANOKE, VA | |
B | 01/01/2008 - 01/09/2009 | ROANOKE, VA | |
B | 03/05/1974 - 01/03/2008 | ROANOKE, VA | |
IA | 02/08/1999 - 01/01/2008 | ROANOKE, VA | |
B | 07/02/1973 - 04/27/1974 | ||
B | 07/20/1972 - 07/02/1973 |
07/02/1973 - 04/27/1974
07/20/1972 - 07/02/1973
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.