Individual Firm
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MARC DEAN SPINNER
MARC D SPINNER
CRD#: 2727461
IA
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CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1920 N. Pittsburgh St., Suite D2
Kennewick, WA 99336
Kennewick, WA 99336
CETERA ADVISORS LLCCRD#: 10299 1920 N. Pittsburgh St., Suite D2
Kennewick, WA 99336
Kennewick, WA 99336
View By:
12/29/2003
Customer Dispute
Denied
State Registrations
B
Arizona 7/29/2021
B
North Carolina 8/5/2021
B
California 7/29/2021
B
Oregon 7/29/2021
B
Idaho 7/29/2021
B
Washington 7/30/2021
B
Missouri 8/28/2023
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Washington 3/21/2024
B
New Mexico 7/29/2021
B
Wyoming 7/29/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 3/21/2024
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Registered with this firm since 7/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/30/2021 - 03/21/2024 | KENNEWICK, WA | |
IA | 09/11/2009 - 08/04/2021 | KENNEWICK, WA | |
B | 09/11/2009 - 08/04/2021 | KENNEWICK, WA | |
IA | 06/01/2009 - 10/08/2009 | KENNEWICK, WA | |
B | 06/01/2009 - 10/08/2009 | KENNEWICK, WA | |
IA | 12/09/2004 - 06/01/2009 | KENNEWICK, WA | |
B | 12/09/2004 - 06/01/2009 | KENNEWICK, WA | |
IA | 06/13/2000 - 12/16/2004 | KENNEWICK, WA | |
B | 05/13/1996 - 12/16/2004 | MINNEAPOLIS, MN |
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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.