Individual Firm
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SCOTT TIMOTHY CAVEY
CRD#: 4287897
IA
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AVIOR WEALTH MANAGEMENT, LLCCRD#: 148674 14301 FIRST NATIONAL BANK PARKWAY
SUITE 410
OMAHA, NE 68154
SUITE 410
OMAHA, NE 68154
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3/23/2016
Customer Dispute
Closed-No Action
3/14/2015
Customer Dispute
Denied
12/16/2011
Customer Dispute
Denied
State Registrations
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Iowa 3/9/2022
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Texas 3/9/2022
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Nebraska 5/13/2020
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Registered with this firm since 5/13/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/18/2011 - 05/04/2020 | OMAHA, NE | |
B | 02/15/2011 - 05/04/2020 | OMAHA, NE | |
IA | 09/24/2004 - 02/11/2011 | OMAHA, NE | |
B | 09/08/2004 - 02/11/2011 | OMAHA, NE | |
B | 05/10/2002 - 09/08/2004 | ST. LOUIS, MO | |
IA | 03/23/2001 - 05/07/2002 | OMAHA, NE | |
B | 12/11/2000 - 05/07/2002 | WEEHAWKEN, NJ |
OMAHA, NE
09/24/2004 - 02/11/2011
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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.