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JASON LEONARD GAROFALO
JASON L GAROFALO
CRD#: 3008935
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10845 Griffith Peak Dr Ste 690
Las Vegas, NV 89135
Las Vegas, NV 89135
View By:
11/5/2021
Customer Dispute
Settled
9/12/2012
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 5/23/2024
B
Nebraska 11/1/2024
B
Arizona 11/13/2015
B
Nevada 12/9/2015
B
California 11/13/2015
IA
Nevada 12/10/2015
B
Colorado 11/13/2015
B
New Jersey 11/13/2015
B
Connecticut 3/28/2023
B
New Mexico 11/4/2016
B
Delaware 10/17/2018
B
New York 11/13/2015
B
Florida 11/13/2015
B
North Carolina 7/13/2016
B
Georgia 10/15/2024
B
Oregon 12/12/2016
B
Hawaii 1/5/2016
B
Pennsylvania 1/25/2024
B
Idaho 11/13/2015
B
South Dakota 1/8/2016
IA
Idaho 7/31/2024
B
Tennessee 1/25/2022
B
Illinois 11/13/2015
B
Texas 11/13/2015
B
Kansas 11/13/2015
IA
Texas 11/13/2015
B
Michigan 11/6/2024
B
Utah 12/10/2015
B
Minnesota 8/18/2022
IA
Utah 12/10/2015
B
Missouri 10/24/2016
B
Virginia 8/16/2019
B
Montana 10/25/2019
B
Washington 11/13/2015
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/13/2015
B
Registered with this firm since 11/13/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/23/2007 - 02/08/2016 | LAS VEGAS, NV | |
IA | 01/19/2012 - 12/11/2015 | LAS VEGAS, NV | |
IA | 03/06/2014 - 10/22/2014 | LAS VEGAS, NV | |
IA | 05/14/2003 - 06/20/2007 | LAS VEGAS, NV | |
B | 05/14/2003 - 06/20/2007 | LAS VEGAS, NV | |
IA | 05/15/2001 - 05/15/2003 | LAS VEGAS, NV | |
B | 05/04/2001 - 05/15/2003 | WALTHAM, MA | |
B | 10/05/2000 - 06/12/2001 | LONG ISLAND CITY, NY | |
B | 05/03/2000 - 02/01/2001 | CHICAGO, IL | |
B | 10/12/1999 - 10/04/2000 | DALLAS, TX | |
B | 03/26/1999 - 07/01/1999 | NEW YORK, NY | |
B | 03/19/1998 - 04/01/1999 | NEW YORK, NY |
LAS VEGAS, NV
03/06/2014 - 10/22/2014
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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.