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CHRISTOPHER BRIAN CAROLAN
CHRIS BRIAN CAROLAN, CHRISTOPHER B CAROLAN, Christopher Brian Carolan
CRD#: 4402629
IA
B
DIMENSIONS WEALTH MANAGEMENT, LLCCRD#: 298928 915 Highland Pointe Drive, Ste. 250
Roseville, CA 95678
Roseville, CA 95678
KINGSWOOD CAPITAL PARTNERS, LLCCRD#: 288898 915 Highland Pointe Drive
Suite 250
Roseville, CA 95678
Suite 250
Roseville, CA 95678
View By:
1/13/2021
Customer Dispute
Settled
State Registrations
B
California 11/2/2018
IA
Texas 11/2/2018
IA
California 11/5/2018
SRO Registrations
B
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B
Registered with this firm since 11/2/2018
IA
Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 11/05/2018 | ROSEVILLE, CA | |
B | 06/01/2009 - 11/05/2018 | ROSEVILLE, CA | |
IA | 09/14/2007 - 06/01/2009 | LINCOLN, CA | |
B | 09/14/2007 - 06/01/2009 | LINCOLN, CA | |
IA | 01/17/2003 - 08/29/2007 | LINCOLN HILLS, CA | |
B | 07/13/2001 - 08/29/2007 | LINCOLN HILLS, CA |
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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.
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