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MARY PHILPOTT
MARY KATHERINE COLEMAN, MARY KATHERINE PHILPOTT
CRD#: 4248280
IA
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WELLS FARGO ADVISORSCRD#: 19616 15 S MAIN ST STE 300
[RBO]
GREENVILLE, SC 29601
[RBO]
GREENVILLE, SC 29601
0
Disclosures
22
Years of Experience
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State Registrations
IA
South Carolina 10/29/2021
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South Carolina 11/3/2021
SRO Registrations
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Registered with this firm since 10/29/2021
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Registered with this firm since 11/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/18/2012 - 12/13/2019 | GREENVILLE, SC | |
B | 11/16/2004 - 12/13/2019 | GREENVILLE, SC | |
B | 05/24/2004 - 11/01/2004 | KANNAPOLIS, NC | |
B | 06/15/2002 - 04/01/2004 | ST. LOUIS, MO | |
B | 10/24/2000 - 06/15/2002 | CHARLOTTE, NC |
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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.
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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.