Individual Firm
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CARLA PARISI KECK
CRD#: 4138004
IA
B
TECTONIC ADVISORS LLCCRD#: 139713 17 COWBOYS WAY
STE 250
FRISCO, TX 75034
STE 250
FRISCO, TX 75034
0
Disclosures
21
Years of Experience
View By:
State Registrations
IA
Texas 8/1/2022
IA
Registered with this firm since 8/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/08/2015 - 07/27/2022 | Plano, TX | |
B | 06/08/2015 - 07/27/2022 | Plano, TX | |
IA | 04/26/2012 - 05/14/2015 | PLYMOUTH, MN | |
B | 04/23/2012 - 05/14/2015 | PLYMOUTH, MN | |
IA | 11/10/2003 - 03/22/2012 | RALEIGH, NC | |
B | 04/08/2003 - 03/22/2012 | RALEIGH, 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.
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.