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JON MICHAEL COMBS
JON M COMBS
CRD#: 3259692
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
0
Disclosures
25
Years of Experience
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State Registrations
B
Colorado 10/20/2016
B
Wyoming 10/20/2016
IA
Colorado 10/20/2016
SRO Registrations
B
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IA
Registered with this firm since 10/20/2016
B
Registered with this firm since 10/20/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/26/2006 - 09/16/2016 | DENVER, CO | |
B | 04/30/2005 - 09/16/2016 | DENVER, CO | |
IA | 07/31/2003 - 03/10/2005 | DENVER, CO | |
B | 10/14/1999 - 03/10/2005 | OMAHA, NE |
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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.