Individual Firm
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RODGER ANTHONY MCALISTER
CRD#: 2676623
IA
B
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 323 TOWNEPARK CIRCLE
LOUISVILLE, KY 40243
LOUISVILLE, KY 40243
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4/3/2024
Customer Dispute
Settled
8/9/2021
Customer Dispute
Settled
9/29/2008
Customer Dispute
Denied
State Registrations
B
Alabama 1/5/2015
B
Indiana 1/5/2015
B
Arizona 5/11/2020
B
Kentucky 12/12/2005
B
California 5/27/2015
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Kentucky 3/12/2007
B
Colorado 1/5/2015
B
Massachusetts 5/1/2018
B
Florida 1/5/2015
B
South Carolina 1/5/2015
B
Georgia 1/5/2015
B
Texas 1/5/2015
B
Illinois 1/5/2015
B
West Virginia 1/5/2015
SRO Registrations
B
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Registered with this firm since 3/12/2007
B
Registered with this firm since 12/12/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/29/2005 - 11/28/2005 | LOUISVILLE, KY | |
B | 10/08/2001 - 08/15/2005 | ST. PETERSBURG, FL | |
B | 05/31/2000 - 06/12/2001 | NEW YORK, NY | |
B | 11/01/1999 - 04/18/2000 | LOUISVILLE, KY | |
B | 07/18/1997 - 05/24/1999 | LOUISVILLE, KY |
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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.
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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.