Individual Firm
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JUDITH ALEXA CARLSON-WANG
JUDITH A CARLSON, JUDITH ALEXA CARLSON
CRD#: 2623525
IA
B
EDWARD JONESCRD#: 250 Newton, MA
0
Disclosures
29
Years of Experience
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State Registrations
B
Massachusetts 11/30/2022
IA
Missouri 5/21/2023
IA
Massachusetts 7/18/2023
SRO Registrations
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B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/01/2005 - 10/31/2022 | BOSTON, MA | |
B | 01/01/2002 - 01/01/2005 | BOSTON, MA | |
B | 07/27/1998 - 01/01/2002 | BOSTON, MA | |
B | 06/30/1997 - 04/12/2000 | BOSTON, MA | |
B | 12/12/1995 - 06/30/1997 | BOSTON, MA |
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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.