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Detailed Report
BRADLEY KEITH VERCNOCKE
CRD#: 2582090
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199619982000200220042006200820102012IAAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2008 (2 years)IASUNAMERICA SECURITIES, INC. (CRD# 20068)2005 - 2005 (<1 year)IAFINANCIAL EDUCATION INSTITUTE ... (CRD# 119737)1996 - 2003 (7 years)
Disclosure(s)
View By:
1/31/2011
Regulatory
Final
11/19/2008
Criminal
Final Disposition
Previous Registration(s)
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 10/31/2005 - 04/10/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) LAS VEGAS, NV
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 01/07/2005 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) LAS VEGAS, NV
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 12/31/1996 - 12/31/2003 FINANCIAL EDUCATION INSTITUTE OF NEVADA, INC. (CRD#:119737) LAS VEGAS, NV
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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.
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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
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.