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JOHN MATTHEW PALKO
CRD#: 2991951
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 8700 BARRELLI COURT
CHARLOTTE, NC 28277
CHARLOTTE, NC 28277
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 352 EAST CHARLES STREET
MATTHEWS, NC 28105
MATTHEWS, NC 28105
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Florida 9/23/2021
B
South Carolina 1/5/2018
B
Maryland 10/17/2024
B
Tennessee 1/10/2019
B
North Carolina 1/5/2018
B
Texas 10/24/2024
IA
North Carolina 1/5/2018
B
Virginia 1/5/2018
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/5/2018
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Registered with this firm since 1/5/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2013 - 12/14/2017 | CHARLOTTE, NC | |
B | 01/02/2013 - 12/14/2017 | CHARLOTTE, NC | |
IA | 11/04/2005 - 01/02/2013 | CHARLOTTE, NC | |
B | 10/28/2005 - 01/02/2013 | CHARLOTTE, NC | |
IA | 12/31/2001 - 11/04/2005 | CHARLOTTE, NC | |
B | 05/25/2000 - 11/04/2005 | BALTIMORE, MD | |
B | 08/17/1999 - 05/26/2000 | NEW YORK, NY |
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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.
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.