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TRACY LYNN CHIPMAN
CRD#: 4048611
IA
B
HORNOR, TOWNSEND & KENT, LLCCRD#: 4031 161 Washington St
Suite 1111
Conshohocken, PA 19428
Suite 1111
Conshohocken, PA 19428
0
Disclosures
24
Years of Experience
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State Registrations
B
Pennsylvania 4/11/2022
IA
Pennsylvania 4/19/2022
SRO Registrations
B
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IA
Registered with this firm since 4/19/2022
B
Registered with this firm since 4/11/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/07/2014 - 03/07/2022 | MINNEAPOLIS, MN | |
B | 08/20/2010 - 03/07/2022 | MINNEAPOLIS, MN | |
B | 01/01/2007 - 10/12/2012 | MINNEAPOLIS, MN | |
B | 06/09/2004 - 01/01/2007 | MINNEAPOLIS, MN | |
B | 06/09/2004 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 11/17/2003 - 05/24/2004 | SAN FRANCISCO, CA | |
B | 10/20/1999 - 11/15/2002 | MINNEAPOLIS, MN | |
B | 10/20/1999 - 11/15/2002 | MINNEAPOLIS, MN |
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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.