Individual Firm
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JAMES CHARLES NAIFY
CRD#: 2316318
IA
B
AIRE ADVISORS, LLCCRD#: 307450 9350 WILSHIRE BLVD
SUITE 200
BEVERLY HILLS, CA 90212
SUITE 200
BEVERLY HILLS, CA 90212
View By:
6/28/2021
Employment Separation After Allegations
10/21/2008
Customer Dispute
Denied
State Registrations
IA
California 2/14/2022
IA
Registered with this firm since 2/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/07/2012 - 07/28/2021 | BEVERLY HILLS, CA | |
B | 09/07/2012 - 07/28/2021 | BEVERLY HILLS, CA | |
IA | 06/15/2001 - 09/17/2012 | BEVERLY HILLS, CA | |
B | 04/20/2001 - 09/17/2012 | BEVERLY HILLS, CA | |
B | 06/30/1993 - 10/22/1996 |
BEVERLY HILLS, CA
09/07/2012 - 07/28/2021
BEVERLY HILLS, CA
09/07/2012 - 07/28/2021
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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.