Individual Firm
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JOHN MARTIN PADILLA
JOHN MARTIN PADILLA MR
CRD#: 2108400
IA
B
SOWELL MANAGEMENTCRD#: 127145 401 Wilshire Blvd.
12th floor Penthouse Suite
Santa Monica, CA 90401
12th floor Penthouse Suite
Santa Monica, CA 90401
0
Disclosures
33
Years of Experience
View By:
State Registrations
IA
California 9/16/2016
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Registered with this firm since 9/16/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/13/2015 - 12/31/2017 | SANTA MONICA, CA | |
IA | 04/21/2016 - 04/12/2017 | Santa Monica, CA | |
IA | 05/26/2006 - 11/17/2015 | PASADENA, CA | |
B | 05/26/2006 - 11/17/2015 | PASADENA, CA | |
IA | 07/08/1997 - 06/08/2006 | PASADENA, CA | |
B | 01/20/1992 - 06/08/2006 | PASADENA, CA |
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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.