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STEPHEN CLARK BROWN
CRD#: 2625260
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 11930 SLATER AVE NE STE 100
KIRKLAND, WA 98034
KIRKLAND, WA 98034
CETERA ADVISORS LLCCRD#: 10299 11930 SLATER AVE NE STE 100
KIRKLAND, WA 98034
KIRKLAND, WA 98034
0
Disclosures
29
Years of Experience
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State Registrations
B
California 1/25/2019
B
Washington 2/28/2012
B
Oregon 2/28/2012
IA
Washington 3/21/2024
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 2/28/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/28/2012 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 07/05/2000 - 02/28/2012 | KIRKLAND, WA | |
B | 06/29/2000 - 02/28/2012 | KIRKLAND, WA | |
B | 06/19/1995 - 07/26/2000 | FORT WAYNE, IN | |
B | 06/19/1995 - 07/26/2000 | FORT WAYNE, IN |
KIRKLAND, WA
07/05/2000 - 02/28/2012
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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.