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JO A PATE
JO ANN KIRK, JO A WARD, JO ANN WARD
CRD#: 3185320
IA
B
NEWEDGE ADVISORSCRD#: 171351 3321 North Valdosta Road
Valdosta, GA 31602
Valdosta, GA 31602
LPL FINANCIAL LLCCRD#: 6413 3321 N. VALDOSTA RD, SUITE A
VALDOSTA, GA 31602
VALDOSTA, GA 31602
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12/6/2021
Financial
Final
State Registrations
B
Florida 7/8/2019
B
South Carolina 7/8/2019
B
Georgia 7/8/2019
IA
Texas 12/16/2020
IA
Georgia 7/9/2019
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/9/2019
B
Registered with this firm since 7/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/12/2016 - 07/11/2019 | VALDOSTA, GA | |
B | 02/27/2009 - 07/11/2019 | VALDOSTA, GA | |
IA | 11/04/2010 - 12/31/2015 | VALDOSTA, GA | |
B | 11/29/2006 - 03/12/2009 | VALDOSTA, GA |
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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.