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ANDREA JANE GRAHAM
ANDREA JANE MAZZARELLA
CRD#: 4409658
IA
B
CWM, LLCCRD#: 155344 100 Pacifica
Suite 400
Irvine, CA 92618
Suite 400
Irvine, CA 92618
CETERA ADVISOR NETWORKS LLCCRD#: 13572 100 PACIFICA STE 400
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alabama 1/11/2022
B
Michigan 10/19/2020
B
Arizona 10/19/2020
B
Missouri 1/15/2025
B
California 10/19/2020
B
Nevada 10/19/2020
IA
California 10/19/2020
B
Ohio 10/19/2020
B
Colorado 11/27/2020
B
Oregon 10/19/2020
B
Florida 10/19/2020
B
South Carolina 8/17/2022
B
Hawaii 10/19/2020
B
Texas 10/19/2020
B
Idaho 10/19/2020
IA
Texas 10/19/2020
B
Kentucky 11/7/2022
B
Virginia 10/19/2020
B
Massachusetts 10/19/2020
B
Washington 4/12/2022
SRO Registrations
B
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B
Registered with this firm since 10/19/2020
IA
Registered with this firm since 10/19/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2018 - 11/03/2020 | IRVINE, CA | |
IA | 01/03/2011 - 10/21/2020 | IRVINE, CA | |
B | 01/03/2011 - 10/21/2020 | IRVINE, CA | |
IA | 03/08/2010 - 11/16/2010 | SAN JUAN CAPISTRANO, CA | |
B | 03/15/2010 - 11/16/2010 | SAN JUAN CAPISTRANO, CA | |
IA | 08/14/2001 - 04/16/2009 | HOUSTON, TX | |
B | 07/23/2001 - 04/16/2009 | HOUSTON, TX | |
B | 07/23/2001 - 07/03/2006 | MINNEAPOLIS, MN |
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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.