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STEPHEN ANTHONY DELLELO
STEPHEN A DELLELO
CRD#: 2170012
IA
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PROSPERITY CAPITAL ADVISORSCRD#: 156480 944 Washington St., Suite 1A
South Easton, MA 02375
South Easton, MA 02375
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11/16/2017
Customer Dispute
Settled
State Registrations
IA
Florida 8/21/2023
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Massachusetts 7/17/2023
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Registered with this firm since 7/17/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/13/2005 - 06/22/2023 | SOUTH EASTON, MA | |
B | 08/26/2005 - 06/22/2023 | SOUTH EASTON, MA | |
IA | 01/31/2005 - 08/26/2005 | EASTON, MA | |
B | 05/10/2002 - 08/26/2005 | LYNNFIELD, MA | |
IA | 11/19/2003 - 01/13/2005 | SOUTH EASTON, MA | |
B | 04/03/1992 - 05/10/2002 | NEW YORK, NY | |
B | 09/27/1991 - 04/20/1992 | NEW YORK, NY |
SOUTH EASTON, MA
11/19/2003 - 01/13/2005
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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.