Individual Firm
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ANDREW CARLOS VASQUEZ
CRD#: 2694453
IA
B
MML INVESTORS SERVICES, LLCCRD#: 10409 1676 N California Blvd
Ste 430
Walnut Creek, CA 94596
Ste 430
Walnut Creek, CA 94596
0
Disclosures
29
Years of Experience
View By:
State Registrations
B
Arizona 3/25/2017
B
Michigan 8/30/2021
B
Arkansas 12/18/2020
B
Mississippi 12/18/2020
B
California 3/25/2017
B
Missouri 8/6/2020
IA
California 3/25/2017
B
Nebraska 12/18/2020
B
Colorado 3/25/2017
B
Nevada 9/20/2021
B
Connecticut 12/18/2020
B
New Mexico 12/18/2020
B
Florida 1/3/2019
B
North Carolina 10/18/2021
B
Georgia 6/22/2023
B
Oklahoma 12/18/2020
B
Hawaii 8/19/2021
B
Pennsylvania 3/22/2022
B
Idaho 3/25/2017
B
Texas 3/25/2017
B
Illinois 3/25/2017
IA
Texas 3/25/2017
B
Indiana 12/18/2020
B
Utah 12/9/2020
B
Maine 12/18/2020
B
Virginia 3/25/2017
SRO Registrations
B
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IA
Registered with this firm since 3/25/2017
B
Registered with this firm since 3/25/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/10/2000 - 03/25/2017 | WALNUT CREEK, CA | |
B | 02/13/1996 - 03/25/2017 | WALNUT CREEK, CA | |
B | 02/13/1996 - 07/09/2007 | WALNUT CREEK, CA |
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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.