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DAVE MARK DULEY
CRD#: 2746944
IA
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GEORGIA ADVISORY GROUP LLCCRD#: 306815 2440 OLD MILTON PKWY SUITE 200
ALPHARETTA, GA 30004
ALPHARETTA, GA 30004
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4/11/2011
Customer Dispute
Settled
9/23/2010
Customer Dispute
Settled
6/22/2010
Customer Dispute
Settled
6/7/2010
Customer Dispute
Settled
5/21/2010
Customer Dispute
Settled
5/21/2010
Customer Dispute
Settled
5/21/2010
Customer Dispute
Settled
5/20/2010
Customer Dispute
Settled
State Registrations
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Georgia 2/19/2018
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Registered with this firm since 1/16/2020
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Registered with this firm since 2/19/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/17/2008 - 01/06/2020 | Alpharetta, GA | |
B | 08/01/2007 - 10/17/2008 | ALPHARETTA, GA | |
B | 07/12/2005 - 08/06/2007 | ALPHARETTA, GA | |
B | 04/26/2002 - 07/13/2005 | ATLANTA, GA | |
B | 06/27/1997 - 05/02/2002 | FORT MILL, SC | |
B | 05/09/1997 - 05/14/1997 | LOS ANGELES, CA |
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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.