Individual Firm
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MARK WILLIAM FLOWER
CRD#: 2484067
IA
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CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.CRD#: 312837 333 SOUTH HOPE STREET
LOS ANGELES, CA 90071
LOS ANGELES, CA 90071
View By:
12/26/2003
Customer Dispute
Settled
State Registrations
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California 7/1/2021
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Nevada 8/25/2021
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Georgia 7/1/2021
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New York 7/1/2021
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Illinois 9/30/2021
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Texas 7/1/2021
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Registered with this firm since 7/1/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/25/2021 - 07/01/2021 | San Francisco, CA | |
IA | 01/03/2011 - 03/30/2021 | WALNUT CREEK, CA | |
B | 01/03/2011 - 03/30/2021 | WALNUT CREEK, CA | |
IA | 09/25/2002 - 01/03/2011 | WALNUT CREEK, CA | |
B | 09/25/2002 - 01/03/2011 | WALNUT CREEK, CA | |
IA | 07/08/1997 - 10/01/2002 | SAN FRANCISCO, CA | |
B | 09/20/1996 - 10/01/2002 | WEEHAWKEN, NJ | |
B | 06/29/1994 - 10/09/1996 | DETROIT, MI |
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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.