Individual Firm
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ALAN JASON DARGIS
CRD#: 3121341
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 2 W WASHINGTON ST
FL 8
GREENVILLE, SC 29601
FL 8
GREENVILLE, SC 29601
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 1439 SANDIFER BLVD
SENECA, SC 29678
SENECA, SC 29678
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Florida 11/15/2013
B
North Carolina 11/21/2013
B
Georgia 11/15/2013
B
South Carolina 11/15/2013
B
Maine 9/23/2020
IA
South Carolina 9/1/2016
B
Nevada 9/23/2020
B
Tennessee 2/26/2025
B
New York 10/14/2019
SRO Registrations
B
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IA
Registered with this firm since 9/1/2016
B
Registered with this firm since 11/15/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2013 - 12/31/2016 | SPARTANBURG, SC | |
IA | 10/11/2004 - 11/20/2013 | GREENVILLE, SC | |
B | 10/08/2004 - 11/20/2013 | GREENVILLE, SC | |
IA | 01/15/2004 - 10/14/2004 | GREENVILLE, SC | |
B | 03/16/2001 - 10/14/2004 | WEEHAWKEN, NJ | |
B | 11/06/1998 - 03/22/2001 | ST. LOUIS, MO |
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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.