Individual Firm
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THOMAS PAUL SIMONSON
TOM SIMONSON
CRD#: 2491186
IA
B
CREATIVE PLANNINGCRD#: 105348 11325 N. Community House Rd.
Suite 125
Charlotte, NC 28277
Suite 125
Charlotte, NC 28277
0
Disclosures
28
Years of Experience
View By:
State Registrations
IA
North Carolina 12/17/2021
IA
Texas 12/17/2021
IA
Registered with this firm since 12/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/20/2012 - 12/17/2021 | CHARLOTTE, NC | |
B | 08/14/2012 - 12/14/2021 | CHARLOTTE, NC | |
IA | 09/24/2003 - 08/10/2012 | CHARLOTTE, NC | |
B | 08/29/2003 - 08/10/2012 | CHARLOTTE, NC | |
B | 09/14/1998 - 08/25/2003 | DES MOINES, IA | |
B | 07/12/1996 - 03/28/1997 | DES MOINES, IA | |
B | 10/18/1994 - 04/24/1995 | MINNEAPOLIS, MN | |
B | 05/16/1994 - 12/01/1994 | NEWARK, NJ |
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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.