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John Aaron Witt
AARON WITT
CRD#: 4063782
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 911 HAYWOOD RD
GREENVILLE, SC 29615
GREENVILLE, SC 29615
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Florida 5/2/2022
B
South Carolina 4/29/2022
B
Georgia 5/2/2022
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South Carolina 4/29/2022
B
New York 1/17/2025
B
Tennessee 5/2/2022
B
North Carolina 3/22/2022
B
Texas 5/2/2022
IA
North Carolina 3/22/2022
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Texas 5/16/2022
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 3/22/2022
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Registered with this firm since 2/21/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/23/2003 - 11/30/2006 | GREENVILLE, SC | |
B | 10/01/2000 - 04/22/2003 | ST. LOUIS, MO | |
B | 01/02/2000 - 10/01/2000 | CHARLOTTE, NC |
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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.
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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.