Individual Firm
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RENE SAUL LICON JR
PENE SAUL LICON JR
CRD#: 2353239
IA
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SCF INVESTMENT ADVISORS, INC.CRD#: 123608 9507 ARMLEY AVE
WHITTIER, CA 90603
WHITTIER, CA 90603
SCF SECURITIES, INC.CRD#: 47275 WHITTIER, CA
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5/26/2009
Judgment / Lien
State Registrations
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California 9/15/2014
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New York 6/20/2021
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California 9/15/2014
SRO Registrations
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Registered with this firm since 9/15/2014
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/02/2013 - 09/12/2014 | WHITTIER, CA | |
B | 07/01/2013 - 09/12/2014 | WHITTIER, CA | |
IA | 05/06/2005 - 06/20/2013 | FULLERTON, CA | |
B | 05/06/2005 - 06/20/2013 | FULLERTON, CA | |
B | 01/15/2003 - 05/04/2005 | IRVINE, CA | |
B | 04/16/2002 - 01/14/2003 | OKLAHOMA CITY, OK | |
B | 04/20/2001 - 02/27/2002 | WAVERLY, IA | |
B | 09/21/2000 - 02/16/2001 | CHANDLER, AZ | |
B | 03/03/1999 - 09/20/2000 | IRVINE, CA | |
B | 02/08/1999 - 03/02/1999 | ||
B | 07/14/1997 - 02/08/1999 | IRVINE, CA | |
B | 12/10/1996 - 07/14/1997 | IRVINE, CA | |
B | 01/24/1996 - 11/27/1996 | NEW YORK, NY | |
B | 08/03/1994 - 01/30/1996 | LOS ANGELES, CA | |
B | 09/13/1993 - 08/18/1994 | ||
B | 06/15/1993 - 07/14/1993 | GREENWOOD VILLAGE, CO |
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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.