Individual Firm
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MICHAEL EUGENE DAVIS
CRD#: 2692127
IA
B
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 Frisco, TX
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3/9/2021
Judgment / Lien
8/12/2014
Judgment / Lien
8/12/2014
Judgment / Lien
State Registrations
B
California 12/18/1995
B
New York 4/22/2024
B
District of Columbia 1/12/2004
B
Ohio 4/5/2013
B
Georgia 10/1/1996
B
Texas 3/6/1997
B
Kentucky 1/12/2004
IA
Texas 3/6/1997
SRO Registrations
B
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IA
B
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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.