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JOHN BANDY GARWOOD
CRD#: 2703896
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 6235 Carnegie Blvd
CHARLOTTE, NC 28211
CHARLOTTE, NC 28211
View By:
12/2/2013
Customer Dispute
Denied
State Registrations
B
Alabama 5/23/2006
B
North Carolina 10/18/2005
B
California 8/28/2007
IA
North Carolina 10/1/2007
B
Connecticut 1/6/2021
B
Ohio 10/31/2008
B
Delaware 2/6/2020
B
Pennsylvania 9/3/2015
B
Florida 11/1/2010
B
Rhode Island 9/27/2022
B
Georgia 12/1/2005
B
South Carolina 12/1/2005
B
Illinois 4/7/2021
B
Tennessee 9/8/2014
B
Maryland 1/11/2022
B
Texas 8/23/2011
B
Massachusetts 10/10/2023
B
Vermont 2/28/2024
B
Michigan 10/16/2020
B
Virginia 2/27/2006
B
New Jersey 12/3/2014
B
Washington 7/25/2024
B
New York 8/28/2007
SRO Registrations
B
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IA
Registered with this firm since 10/1/2007
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Registered with this firm since 10/18/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2006 - 04/30/2007 | MILWAUKEE, WI | |
IA | 10/27/2005 - 05/09/2006 | CHARLOTTE, NC | |
IA | 03/06/2001 - 10/05/2005 | GREENSBORO, NC | |
B | 04/16/1998 - 10/05/2005 | RALEIGH, NC | |
B | 05/16/1997 - 07/29/1998 | CHARLOTTE, NC | |
B | 03/21/1996 - 05/19/1997 | NEW YORK, NY |
MILWAUKEE, WI
05/09/2006 - 04/30/2007
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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.