Individual Firm
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Gary Dean Klossner
CRD#: 3199372
IA
B
EDWARD JONESCRD#: 250 700 W 2ND STE A
ROLLA, MO 65401
ROLLA, MO 65401
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8/22/2002
Customer Dispute
Closed-No Action
8/22/2002
Customer Dispute
Closed-No Action
8/22/2002
Customer Dispute
Closed-No Action
8/22/2002
Customer Dispute
Closed-No Action
8/22/2002
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 3/3/2005
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Missouri 11/10/1999
B
Arizona 3/14/2000
B
Montana 8/24/2016
B
Arkansas 4/13/2009
B
Nebraska 5/9/2023
B
California 7/12/2011
B
North Carolina 8/17/2023
B
Colorado 11/23/2005
B
North Dakota 1/30/2019
B
Connecticut 12/18/2008
B
Oklahoma 10/24/2008
B
Florida 10/24/2003
B
South Carolina 8/23/2023
B
Illinois 9/2/2005
B
Tennessee 4/19/2005
B
Indiana 12/4/2009
B
Texas 3/20/2006
B
Kansas 9/15/2011
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Texas 2/14/2019
B
Mississippi 8/15/2012
B
Virginia 1/6/2005
B
Missouri 5/26/1999
SRO Registrations
B
B
B
B
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IA
B
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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.
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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.