Individual Firm
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VINEE TANEJA MEHTA
VINEE MEHTA
CRD#: 3269001
IA
B
NECTARINECRD#: 327155 Aliso Viejo, CA
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4/24/2017
Customer Dispute
Settled
8/15/2016
Customer Dispute
Settled
State Registrations
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California 1/1/2023
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Texas 4/9/2024
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/12/2022 - 06/01/2022 | MIAMI BEACH, FL | |
IA | 03/10/2014 - 07/30/2016 | LA JOLLA, CA | |
B | 03/30/2015 - 02/01/2016 | SUMMIT, NJ | |
B | 04/29/2010 - 04/02/2014 | SANTA MONICA, CA | |
IA | 09/14/2010 - 04/01/2014 | SANTA MONICA, CA | |
B | 10/14/1999 - 10/28/2005 | BOSTON, MA | |
IA | 11/30/1999 - 12/31/2002 | IRVINE, CA |
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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.