Individual Firm
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MARC JAMES DEFEO
CRD#: 3049157
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 225 HIGH RIDGE ROAD
SUITE# 115
STAMFORD, CT 06905
SUITE# 115
STAMFORD, CT 06905
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Colorado 3/12/2019
B
Montana 1/9/2017
B
Connecticut 1/28/2014
B
New Jersey 10/29/2018
IA
Connecticut 1/28/2014
B
New York 3/11/2014
B
Florida 2/11/2020
B
North Carolina 4/6/2021
B
Georgia 11/29/2021
B
Oklahoma 10/29/2018
B
Hawaii 6/5/2023
B
Oregon 8/18/2021
B
Indiana 4/7/2020
B
Pennsylvania 9/10/2019
B
Louisiana 10/23/2020
B
Rhode Island 6/2/2020
B
Maine 8/22/2018
B
Tennessee 10/9/2020
B
Maryland 5/4/2020
B
Texas 8/22/2018
B
Massachusetts 8/22/2018
B
Vermont 7/24/2019
SRO Registrations
B
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IA
Registered with this firm since 1/28/2014
B
Registered with this firm since 1/28/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2004 - 01/06/2014 | WILTON, CT | |
B | 06/25/2004 - 01/06/2014 | WILTON, CT | |
IA | 03/12/2003 - 02/03/2004 | SHELTON, CT | |
B | 06/25/1998 - 02/03/2004 | SHELTON, CT |
SHELTON, CT
03/12/2003 - 02/03/2004
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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.