Individual Firm
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SCOTT FRANCIS BERTOZZI
CRD#: 2731185
IA
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CHARLES STREET ASSET MANAGEMENT, INC.CRD#: 164781 BALTIMORE, MD
View By:
9/29/2016
Employment Separation After Allegations
State Registrations
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Maryland 8/27/2012
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Registered with this firm since 8/27/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/23/2004 - 10/26/2016 | BALTIMORE, MD | |
IA | 04/23/2004 - 03/27/2013 | BALTIMORE, MD | |
IA | 12/02/2003 - 05/17/2004 | TIMONIUM, MD | |
B | 12/01/2003 - 05/17/2004 | HARTFORD, CT | |
IA | 02/08/2000 - 11/21/2003 | TIMONIUM, MD | |
B | 01/20/1997 - 11/21/2003 | NEW YORK, NY | |
B | 01/20/1997 - 01/05/2000 | NEW YORK, NY | |
B | 05/30/1996 - 12/04/1996 | ST. PAUL, MN |
NEW YORK, NY
01/20/1997 - 01/05/2000
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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.
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.