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PIERO ROSAS
CRD#: 4184719
IA
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INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 15320 SW 26th Street
Weston, FL 33326
Weston, FL 33326
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12/2/2015
Judgment / Lien
State Registrations
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California 7/14/2015
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Texas 1/13/2022
IA
Florida 3/29/2012
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Registered with this firm since 3/29/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/27/2012 - 11/01/2016 | HIALEAH, FL | |
IA | 09/19/2007 - 02/28/2012 | MIAMI LAKES, FL | |
B | 08/08/2007 - 02/27/2012 | MIAMI LAKES, FL | |
IA | 07/18/2007 - 09/07/2007 | HIALEAH, FL | |
B | 01/05/2005 - 09/07/2007 | HIALEAH, FL | |
B | 09/03/2003 - 01/19/2005 | LONG ISLAND CITY, NY | |
B | 05/14/2001 - 09/02/2003 | IRVINE, CA | |
B | 07/07/2000 - 03/01/2001 | MINNEAPOLIS, MN | |
B | 07/07/2000 - 03/01/2001 | MINNEAPOLIS, MN |
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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.