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JOSEPH ANDREW MACFARLANE
CRD#: 2177140
IA
B
KEY INVESTMENT SERVICES LLCCRD#: 136300 72 MOHAWK STREET
COHOES, NY 12047
COHOES, NY 12047
0
Disclosures
32
Years of Experience
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State Registrations
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Florida 6/16/2023
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New York 1/25/2022
B
Missouri 6/16/2023
B
North Carolina 6/16/2023
B
New Jersey 9/21/2022
B
South Carolina 6/16/2023
B
New York 11/12/2020
SRO Registrations
B
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Registered with this firm since 1/25/2022
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Registered with this firm since 11/12/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/22/2007 - 05/26/2020 | ALBANY, NY | |
B | 06/29/1993 - 06/28/2007 | ALBANY, NY | |
B | 08/06/1992 - 06/01/1993 | 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.