Individual Firm
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GARY MICHAEL DUVALL
Gary Michael Duvall, GARY MICHAEL RICHARD
CRD#: 2998532
IA
B
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 Medford, OR
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1/2/2002
Customer Dispute
Settled
State Registrations
B
Arizona 4/25/2024
B
Nevada 3/9/2023
B
California 2/14/2019
B
Oregon 2/14/2019
B
Idaho 11/24/2020
IA
Oregon 2/14/2019
B
Mississippi 11/8/2023
B
Texas 3/6/2023
B
Missouri 8/8/2024
B
Utah 4/19/2024
B
Montana 3/10/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2019 - 01/30/2019 | MEDFORD, OR | |
B | 01/11/2019 - 01/30/2019 | MEDFORD, OR | |
IA | 04/18/2006 - 01/14/2019 | MEDFORD, OR | |
B | 01/03/2005 - 01/14/2019 | MEDFORD, OR | |
B | 05/18/2000 - 01/06/2005 | WAVERLY, IA | |
B | 02/09/1998 - 12/04/1998 | SAINT PAUL, 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.