Individual Firm
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THOMAS EUGENE ROWE
CRD#: 2284275
IA
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GENEVA PARTNERS, LLCCRD#: 130768 772 WEST MAIN STREET
SUITE 301
LAKE GENEVA, WI 53147
SUITE 301
LAKE GENEVA, WI 53147
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7/2/2008
Customer Dispute
Settled
State Registrations
IA
Illinois 6/20/2017
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Registered with this firm since 6/20/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/20/2017 - 12/31/2017 | LaSalle, IL | |
IA | 01/30/2015 - 06/23/2017 | BIRMINGHAM, AL | |
B | 09/12/2014 - 06/23/2017 | LA SALLE, IL | |
IA | 08/18/2006 - 01/30/2015 | LA SALLE, IL | |
B | 06/30/2003 - 09/12/2014 | LA SALLE, IL | |
B | 07/20/1994 - 07/10/2003 | CHESTERFIELD, MO | |
B | 11/06/1992 - 07/19/1994 | EL SEGUNDO, CA |
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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.