Individual Firm
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DOUGLAS JON LODE
CRD#: 4134521
IA
B
PRIME CAPITAL FINANCIALCRD#: 288712 6201 COLLEGE BLVD.
SUITE #150
OVERLAND PARK, KS 66211
SUITE #150
OVERLAND PARK, KS 66211
View By:
10/31/2023
Customer Dispute
Settled
State Registrations
IA
Kansas 7/20/2017
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Registered with this firm since 7/20/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/25/2018 - 12/09/2024 | Overland Park, KS | |
B | 07/16/2010 - 04/30/2018 | OVERLAND PARK, KS | |
IA | 09/29/2009 - 10/13/2017 | OVERLAND PARK, KS | |
B | 09/29/2009 - 07/16/2010 | OVERLAND PARK, KS | |
IA | 03/05/2007 - 09/17/2009 | OVERLAND PARK, KS | |
B | 03/16/2000 - 09/17/2009 | OVERLAND PARK, KS |
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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.