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Sandra Diane Bailey
DIANE BAILEY, SANDRA DIANE PLUMMER
CRD#: 4199365
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 Greenville, TX
0
Disclosures
18
Years of Experience
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State Registrations
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Texas 10/14/2022
IA
Texas 10/14/2022
SRO Registrations
B
B
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/06/2016 - 08/11/2022 | Greenville, TX | |
B | 10/06/2016 - 08/11/2022 | Greenville, TX | |
IA | 02/15/2007 - 09/30/2016 | GREENVILLE, TX | |
B | 10/20/2006 - 09/30/2016 | GREENVILLE, 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.