Individual Firm
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PETER LEWIS DEWALD
CRD#: 2242275
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 CAPITAL CENTRE
750 4TH AVE., FIRST FLOOR
HUNTINGTON, WV 25701
750 4TH AVE., FIRST FLOOR
HUNTINGTON, WV 25701
View By:
3/5/2007
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 1/7/2019
B
New Mexico 1/7/2019
B
California 1/7/2019
B
New York 1/7/2019
B
District of Columbia 9/26/2013
B
North Carolina 1/7/2019
B
Florida 1/7/2019
B
Ohio 1/7/2019
B
Georgia 1/7/2019
B
Pennsylvania 1/7/2019
B
Hawaii 1/7/2019
B
Rhode Island 1/7/2019
B
Illinois 1/7/2019
B
South Carolina 1/7/2019
B
Indiana 1/7/2019
B
Tennessee 1/7/2019
B
Kentucky 1/7/2019
B
Texas 1/7/2019
B
Maryland 1/7/2019
B
Virginia 1/7/2019
B
Massachusetts 1/7/2019
B
West Virginia 7/19/2013
B
Michigan 1/7/2019
IA
West Virginia 7/23/2013
SRO Registrations
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 7/23/2013
B
Registered with this firm since 7/19/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 08/07/2013 | HUNTINGTON, WV | |
B | 06/01/2009 - 08/07/2013 | HUNTINGTON, WV | |
IA | 10/12/2004 - 06/01/2009 | HUNTINGTON, WV | |
B | 07/31/1993 - 06/01/2009 | HUNTINGTON, WV | |
B | 06/10/1992 - 07/31/1993 | NEW YORK, NY |
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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.