Individual Firm
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ANDREW WILLIAM MINKER
CRD#: 2942127
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 2542 S. BASCOM AVE.
SUITE 135
CAMPBELL, CA 95008
SUITE 135
CAMPBELL, CA 95008
View By:
4/29/2012
Customer Dispute
Settled
State Registrations
B
Arizona 10/7/2024
B
Missouri 10/7/2024
IA
Arizona 10/9/2024
IA
Missouri 10/15/2024
B
California 10/7/2024
B
Nevada 10/7/2024
IA
California 10/8/2024
IA
Nevada 10/9/2024
B
Florida 10/7/2024
B
Tennessee 10/7/2024
IA
Florida 10/8/2024
B
Texas 10/7/2024
B
Hawaii 10/7/2024
IA
Texas 10/7/2024
IA
Hawaii 10/17/2024
B
Washington 10/7/2024
B
Michigan 10/7/2024
IA
Washington 10/10/2024
IA
Michigan 10/9/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/7/2024
B
Registered with this firm since 10/7/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/11/1999 - 10/09/2024 | CAMPBELL, CA | |
B | 01/22/1998 - 10/09/2024 | CAMPBELL, CA | |
B | 01/22/1998 - 07/03/2006 | MINNEAPOLIS, MN |
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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.