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JAMES CHRISTOPHER DEAN
CRD#: 2896157
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 5129 OLEANDER DRIVE
SUITE 202
WILMINGTON, NC 28403
SUITE 202
WILMINGTON, NC 28403
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 5129 OLEANDER DRIVE
SUITE 202
WILMINGTON, NC 28403
SUITE 202
WILMINGTON, NC 28403
0
Disclosures
27
Years of Experience
View By:
State Registrations
B
Alabama 2/15/2022
B
New Jersey 12/2/2019
B
Arizona 5/4/2022
B
New York 2/10/2006
B
California 6/13/2024
B
North Carolina 2/10/2006
B
Colorado 9/2/2022
IA
North Carolina 1/2/2009
B
Delaware 3/15/2021
B
Ohio 8/28/2013
B
Florida 9/30/2013
B
Pennsylvania 2/10/2006
B
Georgia 3/3/2016
B
South Carolina 2/10/2006
B
Indiana 6/15/2012
B
Texas 3/21/2024
B
Kentucky 7/10/2024
IA
Texas 3/23/2024
B
Maryland 1/2/2013
B
Utah 9/5/2024
B
Massachusetts 8/2/2013
B
Virginia 2/10/2006
B
Minnesota 12/8/2021
B
Washington 12/1/2020
SRO Registrations
B
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IA
Registered with this firm since 1/2/2009
B
Registered with this firm since 2/10/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/02/2006 - 01/02/2009 | WILMINGTON, NC | |
IA | 12/31/2001 - 02/13/2006 | WILMINGTON, NC | |
B | 07/23/1997 - 02/13/2006 | WILMINGTON, 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.