Individual Firm
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Barclay Vajda
BARCLAY D VAJDA, BARCLAY DAVID VAJDA
CRD#: 4174723
IA
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EMBARK WEALTH MANAGEMENT, LLCCRD#: 157950 398 S MILL AVENUE
SUITE 302
TEMPE, AZ 85281
SUITE 302
TEMPE, AZ 85281
0
Disclosures
9
Years of Experience
View By:
State Registrations
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Arizona 11/3/2021
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New Jersey 12/6/2021
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California 10/19/2021
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New York 11/8/2021
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Florida 10/29/2021
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Texas 10/26/2021
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Registered with this firm since 10/19/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/02/2020 - 09/28/2021 | Scottsdale, AZ | |
B | 10/01/2020 - 09/28/2021 | Scottsdale, AZ | |
IA | 09/22/2017 - 03/28/2020 | Phoenix, AZ | |
B | 09/22/2017 - 03/28/2020 | Phoenix, AZ | |
IA | 03/13/2017 - 07/20/2017 | CHANDLER, AZ | |
B | 01/05/2017 - 07/20/2017 | CHANDLER, AZ | |
B | 10/15/2002 - 10/30/2003 | BOSTON, MA | |
B | 09/07/2000 - 07/05/2001 | WESTLAKE, TX |
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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.