Individual Firm
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JAMES CHRISTOPHER DEUTSCH
CRD#: 2209548
IA
B
LPL FINANCIAL LLCCRD#: 6413 SARASOTA, FL
View By:
4/28/2014
Customer Dispute
Settled
11/24/1995
Employment Separation After Allegations
State Registrations
B
Arkansas 5/1/2024
B
Massachusetts 5/10/2016
B
California 8/18/2006
B
Missouri 3/15/2017
B
Colorado 8/18/2006
B
Montana 2/24/2017
B
Connecticut 8/18/2006
B
New York 8/18/2006
B
Florida 8/18/2006
B
Ohio 8/18/2006
IA
Florida 5/17/2007
B
Tennessee 8/18/2006
B
Georgia 9/8/2021
IA
Texas 3/28/2013
B
Iowa 4/17/2009
B
Texas 4/23/2024
B
Maryland 8/18/2006
B
Washington 1/30/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/26/2002 - 08/21/2006 | MINNEAPOLIS, MN | |
B | 01/01/2001 - 03/25/2002 | MINNEAPOLIS, MN | |
B | 04/22/1998 - 01/01/2001 | MINNEAPOLIS, MN | |
B | 01/04/1996 - 04/16/1998 | DALLAS, TX | |
B | 02/18/1992 - 12/04/1995 | GREENWOOD VILLAGE, CO |
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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.