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HRATCH MINASSIAN
CRD#: 2349577
IA
B
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 Waltham, MA
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 Laconia, NH
0
Disclosures
28
Years of Experience
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State Registrations
B
Connecticut 12/2/2020
B
New Hampshire 12/2/2020
B
Maine 12/2/2020
B
New York 12/2/2020
B
Massachusetts 12/2/2020
B
Rhode Island 12/2/2020
IA
Massachusetts 3/8/2022
B
Vermont 12/2/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
Registered with this firm since 12/2/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/01/2005 - 10/12/2020 | SAN MATEO, CA | |
B | 09/01/1998 - 12/01/2005 | NEW YORK, NY | |
B | 11/15/1996 - 09/01/1998 | NEW YORK, NY | |
B | 01/31/1996 - 09/25/1996 | PURCHASE, 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.