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KAREN ESPOSITO COLE
KAREN E COLE, KAREN ESPOSITO, KAREN E JOHNSON
CRD#: 2852821
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 4820 S Himes Ave
Tampa, FL 33611
Tampa, FL 33611
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 401 E JACKSON ST
TAMPA, FL 33602
TAMPA, FL 33602
0
Disclosures
27
Years of Experience
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State Registrations
B
Florida 7/10/2020
B
Georgia 7/10/2020
IA
Florida 7/16/2020
SRO Registrations
B
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IA
Registered with this firm since 7/16/2020
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Registered with this firm since 7/10/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2018 - 07/13/2020 | TAMPA, FL | |
B | 01/02/2018 - 07/13/2020 | TAMPA, FL | |
IA | 11/25/2009 - 01/02/2018 | TAMPA, FL | |
B | 10/09/2009 - 01/02/2018 | TAMPA, FL | |
B | 01/29/2008 - 09/23/2009 | TAMPA, FL | |
IA | 07/24/2006 - 09/25/2007 | CLEARWATER, FL | |
B | 09/26/2005 - 08/22/2007 | CLEARWATER, FL | |
B | 10/01/2000 - 09/08/2005 | ST. LOUIS, MO | |
B | 03/04/1997 - 10/01/2000 | CHARLOTTE, NC |
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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.