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STEPHEN BERROCAL
STEVE BERROCAL
CRD#: 3071400
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 201 ALHAMBRA CIRCLE
14TH FLOOR
CORAL GABLES, FL 33134
14TH FLOOR
CORAL GABLES, FL 33134
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 201 ALHAMBRA CIR
FL 1 & 14
CORAL GABLES, FL 33134
FL 1 & 14
CORAL GABLES, FL 33134
View By:
4/29/2024
Customer Dispute
Pending
10/12/2022
Customer Dispute
Settled
9/7/2022
Customer Dispute
Settled
10/5/2021
Customer Dispute
Settled
4/26/2021
Customer Dispute
Settled
3/17/2021
Customer Dispute
Settled
9/9/2020
Customer Dispute
Settled
State Registrations
B
California 1/29/2016
B
Nevada 2/24/2014
B
Florida 8/6/2013
B
New York 5/22/2024
IA
Florida 8/24/2016
B
North Carolina 7/6/2023
B
Georgia 8/7/2013
B
Puerto Rico 3/24/2014
B
Massachusetts 8/13/2015
B
Tennessee 12/9/2014
B
Michigan 6/22/2023
B
Texas 8/1/2014
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
Registered with this firm since 8/24/2016
B
Registered with this firm since 8/2/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/05/2013 - 12/31/2016 | CORAL GABLES, FL | |
IA | 03/11/2013 - 04/18/2013 | MIAMI, FL | |
B | 03/19/2013 - 04/18/2013 | MIAMI, FL | |
IA | 10/01/2012 - 03/06/2013 | MIAMI, FL | |
B | 10/01/2012 - 03/06/2013 | MIAMI, FL | |
IA | 08/18/2009 - 10/01/2012 | MIAMI, FL | |
B | 07/31/2009 - 10/01/2012 | MIAMI, FL | |
IA | 01/01/2008 - 07/24/2009 | CORAL GABLES, FL | |
B | 01/01/2008 - 07/24/2009 | CORAL GABLES, FL | |
B | 09/29/2003 - 01/03/2008 | CORAL GABLES, FL | |
IA | 10/31/2003 - 01/01/2008 | CORAL GABLES, FL | |
B | 03/05/2001 - 09/26/2003 | BOCA RATON, FL |
BOCA RATON, FL
03/05/2001 - 09/26/2003
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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.