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WILLIAM MAC CONGELIO
CRD#: 2619086
IA
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PRINCIPAL SECURITIES, INC.CRD#: 1137 4830 W Kennedy Blvd
Ste 550
Tampa, FL 33609
Ste 550
Tampa, FL 33609
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2/7/1973
Criminal
Final Disposition
State Registrations
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Colorado 3/11/2021
B
Georgia 6/27/2013
B
Florida 6/20/2013
B
Pennsylvania 9/18/2023
IA
Florida 6/21/2013
B
South Carolina 7/12/2022
SRO Registrations
B
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IA
Registered with this firm since 6/21/2013
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Registered with this firm since 6/18/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/21/2000 - 06/06/2013 | TAMPA, FL | |
B | 04/11/2002 - 06/06/2013 | TAMPA, FL | |
B | 06/26/1995 - 04/30/2002 | NEW YORK, NY |
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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.
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.
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