Individual Firm
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KANDI GRAHAM
KANDI G CARLSON, KANDI A GRAHAM
CRD#: 2503872
IA
B
EDWARD JONESCRD#: 250 82 WOODSTOCK AVENUE
RUTLAND, VT 05701
RUTLAND, VT 05701
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alaska 12/13/2024
B
North Carolina 2/14/2023
B
Arizona 2/14/2023
B
Ohio 2/14/2023
B
California 2/14/2023
B
Oklahoma 2/14/2023
B
Colorado 2/14/2023
B
Oregon 2/14/2023
B
Connecticut 2/14/2023
B
Pennsylvania 2/14/2023
B
Florida 2/14/2023
B
South Carolina 2/14/2023
B
Illinois 2/14/2023
B
Tennessee 2/14/2023
B
Indiana 2/14/2023
B
Texas 2/14/2023
B
Maine 2/14/2023
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Texas 6/8/2023
B
Maryland 2/14/2023
B
Utah 2/14/2023
B
Massachusetts 2/14/2023
B
Vermont 2/6/2023
B
Michigan 2/13/2024
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Vermont 5/10/2023
B
New Hampshire 2/14/2023
B
Washington 2/14/2023
B
New Jersey 2/14/2023
B
Wisconsin 2/14/2023
B
New York 2/14/2023
SRO Registrations
B
B
B
B
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Registered with this firm since 5/10/2023
B
Registered with this firm since 2/6/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/23/2008 - 01/19/2023 | MANCHESTER CENTER, VT | |
B | 05/20/2008 - 07/10/2008 | MANCHESTER, VT | |
B | 01/05/2006 - 05/29/2008 | BUFFALO, NY | |
B | 05/30/2003 - 04/16/2004 | PURCHASE, NY | |
B | 11/21/2000 - 04/30/2003 | PURCHASE, NY | |
B | 09/01/2000 - 12/21/2000 | ST. LOUIS, MO | |
B | 12/20/1999 - 04/12/2000 | NEW YORK, NY |
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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.