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CRAIG ALAN AUSTAD
CRD#: 2613731
IA
B
SAVVYCRD#: 318493 4600 S. Syracuse St.
9th Floor
Denver, CO 80237
9th Floor
Denver, CO 80237
0
Disclosures
28
Years of Experience
View By:
State Registrations
IA
Colorado 9/17/2024
IA
Registered with this firm since 9/17/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/21/2016 - 12/04/2024 | DENVER, CO | |
B | 01/20/2016 - 11/08/2018 | DENVER, CO | |
B | 11/24/2003 - 01/22/2016 | DENVER, CO | |
IA | 01/23/2007 - 04/30/2007 | MILWAUKEE, WI | |
IA | 04/03/2003 - 09/22/2003 | DENVER, CO | |
B | 02/20/2003 - 09/22/2003 | NEW YORK, NY | |
B | 07/11/1996 - 04/05/2002 | HARTFORD, CT | |
B | 05/03/1995 - 06/14/1996 | OVERLAND PARK, KS |
MILWAUKEE, WI
01/23/2007 - 04/30/2007
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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.