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HOLLY HAWKINS CLARK
HOLLY RUSSELL HAWKINS
CRD#: 4312941
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 6200 POPLAR AVENUE
MEMPHIS, TN 38119
MEMPHIS, TN 38119
CETERA INVESTMENT SERVICES LLCCRD#: 15340 6200 POPLAR AVENUE
MEMPHIS, TN 38119
MEMPHIS, TN 38119
0
Disclosures
23
Years of Experience
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State Registrations
IA
Tennessee 10/1/2015
B
Tennessee 10/29/2015
SRO Registrations
B
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B
Registered with this firm since 10/29/2015
IA
Registered with this firm since 10/1/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/19/2007 - 07/09/2015 | MEMPHIS, TN | |
B | 12/08/2006 - 07/09/2015 | MEMPHIS, TN | |
B | 04/09/2001 - 10/19/2006 | MEMPHIS, TN |
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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.