Individual Firm
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LUIS ROBERTO SAUCEDO
LUIS R SAUCEDO
CRD#: 3162480
IA
B
MML INVESTORS SERVICES, LLCCRD#: 10409 Chula Vista, CA
0
Disclosures
23
Years of Experience
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State Registrations
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California 4/13/2016
IA
California 4/22/2016
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/06/2013 - 02/02/2016 | LA JOLLA, CA | |
B | 08/13/2013 - 02/02/2016 | LA JOLLA, CA | |
IA | 05/02/2009 - 02/16/2012 | CHULA VISTA, CA | |
B | 05/02/2009 - 02/16/2012 | CHULA VISTA, CA | |
IA | 05/19/2006 - 05/02/2009 | SPRING VALLEY, CA | |
B | 09/21/2005 - 05/02/2009 | SPRING VALLEY, CA | |
B | 09/26/2000 - 04/26/2005 | NEW YORK, NY | |
B | 02/02/1999 - 07/25/2000 | MINNEAPOLIS, MN | |
B | 02/02/1999 - 07/25/2000 | MINNEAPOLIS, MN |
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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.