Individual Firm
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WILLIAM CALLAHAN FLORENZ
CRD#: 3065038
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 JACKSONVILLE, FL
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2/13/2006
Customer Dispute
Denied
State Registrations
B
Alabama 1/18/2017
B
Georgia 8/18/2022
B
Florida 7/20/2000
B
Ohio 8/18/2022
IA
Florida 7/20/2000
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/30/1999 - 01/07/2000 | GREENWOOD VILLAGE, CO | |
B | 06/08/1998 - 11/06/1998 | NEWARK, NJ |
GREENWOOD VILLAGE, CO
06/30/1999 - 01/07/2000
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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.