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DEBRA ANN ROGERS
DEBR LEOPOLD, DEBRA ANN LEOPOLD
CRD#: 2300616
IA
B
WELLS FARGO ADVISORSCRD#: 19616 180 BATTERY ST STE 300
BURLINGTON, VT 05401
BURLINGTON, VT 05401
0
Disclosures
29
Years of Experience
View By:
State Registrations
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Alaska 2/8/2011
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New Hampshire 2/8/2011
B
Arizona 2/8/2011
B
New Jersey 2/8/2011
B
Arkansas 11/19/2019
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New Mexico 10/7/2016
B
California 1/1/2008
B
New York 2/8/2011
B
Colorado 2/8/2011
B
North Carolina 2/9/2011
B
Connecticut 2/8/2011
B
North Dakota 2/25/2016
B
Delaware 4/19/2018
B
Ohio 2/9/2011
B
District of Columbia 4/21/2020
B
Oregon 2/8/2011
B
Florida 2/8/2011
B
Pennsylvania 6/1/2015
B
Georgia 2/8/2011
B
South Carolina 2/8/2011
B
Hawaii 6/20/2023
B
South Dakota 10/8/2015
B
Idaho 2/8/2011
B
Tennessee 4/21/2020
B
Illinois 2/8/2011
B
Texas 2/8/2011
B
Kentucky 2/8/2011
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Texas 2/16/2011
B
Maine 2/8/2011
B
Vermont 1/1/2008
B
Maryland 2/8/2011
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Vermont 1/1/2008
B
Massachusetts 2/8/2011
B
Virginia 2/8/2011
B
Michigan 1/12/2016
B
Washington 9/17/2018
B
Minnesota 2/8/2011
B
Wisconsin 1/8/2016
B
Missouri 2/8/2011
B
Wyoming 2/8/2011
SRO Registrations
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B
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B
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Registered with this firm since 1/1/2008
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Registered with this firm since 1/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/24/1995 - 01/03/2008 | BURLINGTON, VT | |
IA | 10/11/2005 - 01/01/2008 | BURLINGTON, VT |
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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.
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.