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Detailed Report
CAROL EMMA YORK
CRD#: 2787027
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Investment Adviser
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Previous Broker
KEYSTONE PRIVATE WEALTHCRD#: 301924 73575 EL PASEO
SUITE 2300
PALM DESERT, CA 92260
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2006 (10 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2012 (2 years)IAKEYSTONE PRIVATE WEALTH (CRD# 301924)2021 - Present (3 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2012 - 2019 (6 years)IACYPRESS WEALTH SERVICES, LLC (CRD# 288992)2019 - 2021 (2 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2019 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2012 - 2018 (5 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2002 - 2006 (3 years)
Disclosure(s)
View By:
9/11/2017
Customer Dispute
Denied
License(s)

State Registrations

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California 6/16/2021
Current Registration(s)
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KEYSTONE PRIVATE WEALTH (CRD#:301924)
73575 EL PASEO SUITE 2300, PALM DESERT, CA 92260
Registered with this firm since 6/16/2021
Previous Registration(s)
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 09/27/2019 - 09/24/2021 CYPRESS WEALTH SERVICES, LLC (CRD#:288992) PALM DESERT, CA
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 07/13/2018 - 06/07/2019 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
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 12/06/2012 - 06/06/2019 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) PALM DESERT, CA
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 12/11/2012 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) PALM DESERT, CA
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 06/01/2009 - 01/06/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) AUBURN, CA
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 06/01/2009 - 01/06/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) AUBURN, CA
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 12/02/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AUBURN, CA
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 12/02/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AUBURN, CA
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 06/22/2007 - 12/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) GRASS VALLEY, CA
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 06/22/2007 - 12/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) GRASS VALLEY, CA
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 12/12/2002 - 11/03/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BRIDGTON, ME
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 09/25/1996 - 11/03/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BRIDGTON, ME
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 09/25/1996 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.