Individual Firm
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KARL DOUGLAS FISHER
KARL D FISHER
CRD#: 2687222
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 BOULDER, CO
View By:
2/22/2024
Customer Dispute
Withdrawn
State Registrations
B
Arizona 5/31/2007
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Nevada 8/11/2021
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Arizona 9/20/2010
B
New Hampshire 11/10/2005
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California 8/16/2002
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New Hampshire 9/20/2010
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California 8/16/2002
B
New Jersey 12/5/1995
B
Colorado 9/21/2011
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New Jersey 7/30/2002
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Colorado 9/28/2011
B
New York 8/21/2001
B
Connecticut 4/30/2019
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New York 5/18/2021
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Connecticut 5/3/2019
B
North Carolina 6/11/2003
B
Delaware 7/29/2021
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North Carolina 9/16/2010
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Delaware 8/3/2021
B
Ohio 4/1/2005
B
Florida 2/15/2001
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Ohio 9/15/2010
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Florida 9/17/2010
B
Oregon 2/25/2021
B
Illinois 6/4/2009
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Oregon 3/2/2021
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Illinois 9/15/2010
B
Pennsylvania 7/26/1996
B
Indiana 11/29/2021
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Pennsylvania 9/14/2010
B
Maryland 9/15/2023
B
South Carolina 5/20/2021
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Maryland 10/12/2023
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South Carolina 5/25/2021
B
Massachusetts 2/18/2021
B
Tennessee 1/29/2019
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Michigan 3/10/2010
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Texas 2/18/2021
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Michigan 5/25/2010
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Texas 2/22/2021
B
Mississippi 3/30/2012
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Virginia 6/21/2011
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Mississippi 1/10/2017
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Virginia 12/9/2011
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Missouri 11/4/2014
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Washington 2/18/2021
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Missouri 1/22/2015
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Washington 2/22/2021
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Nevada 7/29/2021
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/26/2002 - 12/01/2014 | BALA CYNWYD, PA | |
B | 12/04/1995 - 01/05/2000 | NEW YORK, NY |
NEW YORK, NY
12/04/1995 - 01/05/2000
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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.