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Alfonso Durazo III
AL DURAZO, Alfonso Durazo
CRD#: 4370991
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 400 S RAMPART BLVD
LAS VEGAS, NV 89145
LAS VEGAS, NV 89145
0
Disclosures
20
Years of Experience
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State Registrations
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California 10/23/2024
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Nevada 9/16/2024
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Nevada 8/14/2024
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Washington 10/23/2024
SRO Registrations
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Registered with this firm since 9/16/2024
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Registered with this firm since 8/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/21/2022 - 06/13/2024 | LAS VEGAS, NV | |
B | 12/09/2022 - 06/13/2024 | LAS VEGAS, NV | |
IA | 07/01/2020 - 09/09/2022 | Los Angeles, CA | |
B | 07/01/2020 - 09/09/2022 | Los Angeles, CA | |
IA | 10/16/2018 - 06/30/2020 | Los Angeles, CA | |
B | 10/18/2018 - 06/30/2020 | Los Angeles, CA | |
IA | 09/16/2016 - 03/08/2018 | SAINT LOUIS, MO | |
B | 11/01/2013 - 03/08/2018 | LA MESA, CA | |
IA | 10/01/2012 - 11/08/2012 | SAN DIEGO, CA | |
B | 10/01/2012 - 11/08/2012 | SAN DIEGO, CA | |
IA | 11/17/2010 - 10/01/2012 | SAN DIEGO, CA | |
B | 07/16/2010 - 10/01/2012 | SAN DIEGO, CA | |
B | 12/04/2003 - 04/15/2009 | BEVERLY HILLS, CA | |
B | 05/29/2001 - 12/05/2003 | NEW YORK, NY |
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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.