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KAREN SUE PATEL
KAREN SUE STOLLER
CRD#: 3170316
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 FIRESTONE, CO
CETERA ADVISOR NETWORKS LLCCRD#: 13572 FIRESTONE, CO
0
Disclosures
14
Years of Experience
View By:
State Registrations
B
Arizona 8/10/2023
B
Massachusetts 2/3/2025
B
California 8/10/2023
B
Ohio 1/31/2024
B
Colorado 8/10/2023
B
Texas 8/10/2023
IA
Colorado 8/10/2023
IA
Texas 8/10/2023
B
Illinois 8/10/2023
B
Utah 8/10/2023
B
Indiana 8/10/2023
B
Wisconsin 8/10/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
B
IA
Registered with this firm since 8/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/09/2017 - 08/10/2023 | DENVER, CO | |
B | 08/23/2016 - 08/10/2023 | DENVER, CO | |
IA | 10/27/2014 - 08/16/2016 | NEWPORT BEACH, CA | |
B | 04/15/2013 - 08/16/2016 | NEWPORT BEACH, CA | |
B | 03/24/1999 - 04/23/2001 | CHICAGO, IL |
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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.