Individual Firm
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ELKE NICOLE RHODA
ELKE NICOLE NEEDHAM, ELKE NICOLE PICKETT
CRD#: 4141158
IA
B
MORGAN STANLEYCRD#: 149777 Frisco, TX
0
Disclosures
24
Years of Experience
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State Registrations
B
Arizona 1/12/2024
B
New Mexico 10/10/2024
B
California 1/12/2024
B
Ohio 1/12/2024
B
Florida 1/12/2024
B
Texas 1/12/2024
B
Massachusetts 1/12/2024
IA
Texas 1/12/2024
B
Michigan 1/12/2024
B
Virginia 1/12/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/26/2016 - 01/16/2024 | FRISCO, TX | |
B | 02/26/2016 - 01/16/2024 | FRISCO, TX | |
IA | 11/30/2007 - 03/01/2016 | DALLAS, TX | |
B | 11/30/2007 - 03/01/2016 | DALLAS, TX | |
IA | 04/28/2000 - 12/10/2007 | ADDISON, TX | |
B | 04/24/2000 - 12/10/2007 | ADDISON, TX |
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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.