Individual Firm
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DAVID SCOTT RAUDMAN
CRD#: 4324116
IA
B
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 Denver, NC
IFP SECURITIES, LLCCRD#: 297287 Denver, NC
0
Disclosures
24
Years of Experience
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State Registrations
B
Alabama 7/29/2021
IA
Missouri 2/13/2023
IA
Alabama 11/15/2022
IA
North Carolina 2/16/2018
IA
Florida 7/5/2011
B
North Carolina 5/23/2019
B
Florida 5/23/2019
IA
Ohio 1/10/2019
IA
Georgia 11/21/2024
B
Ohio 5/23/2019
B
Indiana 1/2/2020
B
Oklahoma 5/23/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/17/2011 - 05/23/2019 | TAMPA, FL | |
IA | 10/18/2005 - 06/30/2011 | HOLBROOK, NY | |
B | 01/03/2005 - 06/20/2011 | BROOKSVILLE, FL | |
B | 04/24/2001 - 12/31/2004 | CEDAR RAPIDS, IA | |
IA | 04/24/2001 - 08/01/2002 | TAMPA, FL | |
B | 01/01/2001 - 04/16/2001 | BIRMINGHAM, AL |
For additional information about investment advisers or broker-dealers, please visit
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.