Individual Firm
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CHARLES JOHN KRAFT III
CHARLES J KRAFT, CHARLES JOHN KRAFT, CHARLES JOHN KRAFT III, Charlie Kraft
CRD#: 2376939
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 9275 SKY PARK COURT
SUITE 350
SAN DIEGO, CA 92123
SUITE 350
SAN DIEGO, CA 92123
CETERA INVESTMENT SERVICES LLCCRD#: 15340 9275 SKY PARK COURT
SUITE 350
SAN DIEGO, CA 92123
SUITE 350
SAN DIEGO, CA 92123
0
Disclosures
31
Years of Experience
View By:
State Registrations
B
Arizona 9/9/2024
B
South Carolina 9/9/2024
B
California 9/9/2024
B
Texas 9/9/2024
IA
California 9/9/2024
IA
Texas 9/9/2024
B
New York 9/9/2024
SRO Registrations
B
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IA
Registered with this firm since 9/9/2024
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Registered with this firm since 9/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/15/2016 - 08/20/2024 | SAN DIEGO, CA | |
B | 01/14/2016 - 08/20/2024 | SAN DIEGO, CA | |
IA | 05/08/2012 - 02/10/2016 | SAN DIEGO, CA | |
B | 05/08/2012 - 02/10/2016 | SAN DIEGO, CA | |
B | 06/28/2010 - 05/09/2012 | NEW YORK, NY | |
B | 09/20/1993 - 06/10/2010 | CHICAGO, IL |
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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.