Individual Firm
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CAROLYN LOU LUMLEY
CAROLYN L BURDICK, CAROLYN L LUMLEY, CAROLYN L WAGNER, CAROLYN LOU WATERS
CRD#: 2690228
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A TO Z ASSET ADVISORS, LLCCRD#: 146146 AIKEN, SC
0
Disclosures
29
Years of Experience
View By:
State Registrations
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Nevada 1/10/2008
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South Carolina 11/14/2022
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/10/2014 - 07/03/2017 | Las Vegas, NV | |
B | 01/02/2009 - 10/10/2014 | LAS VEGAS, NV | |
B | 10/31/2005 - 12/20/2007 | HENDERSON, NV | |
B | 12/02/2002 - 10/31/2005 | PHOENIX, AZ | |
IA | 03/22/2000 - 12/17/2002 | LAS VEGAS, NV | |
B | 11/12/1998 - 12/17/2002 | NEW YORK, NY | |
B | 01/09/1996 - 11/16/1998 | PURCHASE, NY |
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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.