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LES DAVID FRATE
CRD#: 2397024
IA
B
STIFEL INDEPENDENT ADVISORS, LLCCRD#: 28218 9930 JOHNNYCAKE RIDGE RD.
BLDG. 2A
MENTOR, OH 44060
BLDG. 2A
MENTOR, OH 44060
0
Disclosures
31
Years of Experience
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State Registrations
B
Arizona 4/9/2019
B
Michigan 7/5/2022
B
California 1/5/2011
B
Missouri 7/20/2012
B
Colorado 1/5/2021
B
New Jersey 1/6/2017
B
District of Columbia 11/14/2014
B
North Carolina 1/16/2004
B
Florida 1/16/2004
B
Ohio 1/16/2004
B
Georgia 10/15/2014
IA
Ohio 1/28/2004
B
Illinois 1/9/2006
B
Pennsylvania 6/30/2009
B
Indiana 5/11/2023
B
Texas 3/17/2015
B
Maryland 2/1/2018
IA
Texas 7/15/2019
B
Massachusetts 1/31/2022
B
Virginia 11/17/2004
SRO Registrations
B
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IA
Registered with this firm since 1/28/2004
B
Registered with this firm since 1/16/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/15/2003 - 01/21/2004 | WILLOUGHBY, OH | |
B | 01/28/2000 - 01/21/2004 | ST. LOUIS, MO | |
B | 07/09/1996 - 02/25/2000 | CLEVELAND, OH | |
B | 10/15/1993 - 07/11/1996 | PITTSBURGH, PA |
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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.