Individual Firm
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BRETE BALLARD GARLAND
BRETE B GARLAND, BRETE GARLAND
CRD#: 2335012
IA
B
STEPHENSCRD#: 3496 Fayetteville, AR
0
Disclosures
30
Years of Experience
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State Registrations
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Arkansas 9/16/2019
IA
Texas 9/16/2019
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Arkansas 9/16/2019
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/14/2016 - 09/17/2019 | Little Rock, AR | |
B | 12/03/2008 - 10/17/2016 | WINDSOR, CT | |
B | 11/07/2007 - 11/07/2008 | ROGERS, AR | |
B | 01/03/2007 - 11/08/2007 | PRAIRIE GROVE, AR | |
B | 09/01/2005 - 01/05/2007 | SOMERSET, NJ | |
B | 08/17/2004 - 09/01/2005 | SOMERSET, NJ | |
IA | 01/29/2003 - 08/27/2003 | ROGERS, AR | |
B | 01/29/2003 - 08/27/2003 | MEMPHIS, TN | |
IA | 04/15/1998 - 12/09/2002 | FAYETTEVILLE, AR | |
B | 01/03/1997 - 12/09/2002 | PURCHASE, NY | |
B | 05/05/1993 - 01/04/1997 | NEW YORK, NY |
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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.