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ALEX B SHORE
ALEX BOLLING SHORE, ALEX SHORE
CRD#: 2431627
IA
B
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 1111 N Northshore Dr
Suite P-250
Knoxville, TN 37919
Suite P-250
Knoxville, TN 37919
0
Disclosures
31
Years of Experience
View By:
State Registrations
B
Colorado 2/18/2022
B
North Carolina 2/18/2022
B
Connecticut 2/18/2022
B
Pennsylvania 2/18/2022
B
Florida 2/18/2022
B
Tennessee 2/18/2022
B
Georgia 3/2/2022
IA
Tennessee 2/18/2022
B
Illinois 9/19/2024
B
Texas 2/18/2022
B
Kentucky 2/18/2022
B
Virginia 2/18/2022
B
Maine 2/18/2022
B
Washington 2/18/2022
B
Mississippi 3/23/2022
B
Wisconsin 2/18/2022
B
New Mexico 2/18/2022
SRO Registrations
B
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IA
Registered with this firm since 2/18/2022
B
Registered with this firm since 2/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/12/2015 - 02/18/2022 | KNOXVILLE, TN | |
B | 06/12/2015 - 02/18/2022 | KNOXVILLE, TN | |
IA | 11/19/2001 - 06/12/2015 | KNOXVILLE, TN | |
B | 11/16/2001 - 06/12/2015 | KNOXVILLE, TN | |
B | 04/04/1996 - 12/04/2001 | NEW YORK, NY | |
B | 03/17/1994 - 05/21/1996 | LOUISVILLE, KY |
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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.