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STEVEN CLINT GEE
CRD#: 4148229
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 6200 STONERIDGE MALL RD 3RD FLR
PLEASANTON, CA 94588
PLEASANTON, CA 94588
CETERA ADVISOR NETWORKS LLCCRD#: 13572 6200 STONERIDGE MALL RD 3RD FLR
PLEASANTON, CA 94588
PLEASANTON, CA 94588
0
Disclosures
24
Years of Experience
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State Registrations
B
California 6/9/2021
B
Illinois 6/9/2021
IA
California 6/29/2023
B
Nevada 6/9/2021
SRO Registrations
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IA
Registered with this firm since 6/29/2023
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Registered with this firm since 6/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 09/20/2005 - 06/09/2021 | PLEASANTON, CA | |
B | 09/12/2005 - 06/09/2021 | PLEASANTON, CA | |
IA | 07/23/2003 - 08/29/2005 | PLEASANTON, CA | |
B | 04/20/2001 - 08/29/2005 | PURCHASE, NY | |
B | 01/23/2001 - 04/18/2001 | WALNUT CREEK, CA |
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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.