Individual Firm
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STEVEN ALLEN HOLDSWORTH
STEVEN A HOLDSWORTH, STEVEN A. HOLDSWORTH, Steve Holdsworth
CRD#: 2261671
IA
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FALCON WEALTH PLANNING, INC.CRD#: 174092 3400 INLAND EMPIRE BLVD.
SUITE 100
ONTARIO, CA 91764
SUITE 100
ONTARIO, CA 91764
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10/19/2018
Financial
Final
4/26/2018
Financial
Final
4/18/2018
Financial
Final
State Registrations
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California 9/27/2024
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Washington 9/27/2024
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Texas 9/30/2024
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Registered with this firm since 9/27/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/23/2022 - 09/25/2024 | Seattle, WA | |
IA | 10/28/2020 - 07/13/2022 | SEATTLE, WA | |
IA | 08/30/2016 - 08/01/2017 | MEMPHIS, TN | |
B | 08/31/2016 - 08/01/2017 | MEMPHIS, TN | |
IA | 05/29/2014 - 04/13/2016 | MEMPHIS, TN | |
B | 06/10/2014 - 04/13/2016 | MEMPHIS, TN | |
IA | 04/01/2004 - 12/23/2013 | MEMPHIS, TN | |
B | 10/04/1993 - 07/28/2000 | SMITHFIELD, RI |
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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.
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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.
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