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LEN BROUGHTON GRADDY
LEN BROUGHTON GRADDY JR
CRD#: 226872
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 101 A NORTH MAIN STREET
HINESVILLE, GA 31313
HINESVILLE, GA 31313
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 101 A NORTH MAIN STREET
HINESVILLE, GA 31313
HINESVILLE, GA 31313
0
Disclosures
51
Years of Experience
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State Registrations
B
Alabama 3/8/2018
B
Maryland 3/8/2018
B
Florida 3/8/2018
B
Massachusetts 3/8/2018
B
Georgia 3/8/2018
B
Michigan 3/8/2018
IA
Georgia 3/22/2018
B
South Carolina 3/8/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/22/2018
B
Registered with this firm since 3/8/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/17/2013 - 04/08/2018 | HINESVILLE, GA | |
B | 01/14/2013 - 04/08/2018 | HINESVILLE, GA | |
IA | 03/20/2006 - 11/09/2012 | HINESVILLE, GA | |
B | 10/26/2005 - 11/09/2012 | HINESVILLE, GA | |
IA | 05/02/2003 - 10/28/2005 | HINESVILLE, GA | |
B | 10/01/2002 - 10/28/2005 | PHOENIX, AZ | |
B | 06/16/1973 - 10/01/2002 | HOUSTON, TX |
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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.