Individual Firm
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EILEEN LOUISE LOUSTAU
EILEEN LOUISE UTTER, EILEEN UTTERLESSIN
CRD#: 2658474
IA
B
ASTI FINANCIAL MANAGEMENTCRD#: 137405 BERKELEY, CA
0
Disclosures
13
Years of Experience
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State Registrations
IA
California 6/1/2022
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/29/2016 - 02/14/2018 | SAN FRANCISCO, CA | |
B | 07/09/2015 - 11/16/2015 | DENVER, CO | |
B | 01/03/2012 - 10/10/2013 | SAN FRANCISCO, CA | |
B | 11/05/2009 - 12/31/2011 | SAN FRANCISCO, CA | |
B | 07/28/2008 - 12/31/2009 | SAN FRANCISCO, CA | |
B | 08/12/1999 - 12/31/2002 | WESTLAKE, TX |
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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.