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JONATHAN MICHAEL ROTZ
JONATHAN MIACHAEL ROTZ
CRD#: 4427791
IA
B
ARKADIOS WEALTH ADVISORSCRD#: 288863 6136 Frisco Square Blvd. Suite 400 #438
Frisco, TX 75034
Frisco, TX 75034
ARKADIOS CAPITALCRD#: 282710 6136 Frisco Square Blvd. Suite 400
#438
Frisco, TX 75034
#438
Frisco, TX 75034
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Florida 1/3/2023
B
Texas 7/22/2019
B
Hawaii 1/3/2023
IA
Texas 7/22/2019
B
Idaho 7/22/2019
B
Virginia 2/5/2024
B
North Carolina 11/26/2024
SRO Registrations
B
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IA
Registered with this firm since 7/22/2019
B
Registered with this firm since 7/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2016 - 07/22/2019 | Frisco, TX | |
B | 08/01/2016 - 07/22/2019 | Frisco, TX | |
IA | 02/07/2003 - 08/01/2016 | FRISCO, TX | |
B | 07/25/2001 - 08/01/2016 | FRISCO, TX | |
IA | 06/06/2002 - 02/07/2003 | LEWISVILLE, TX |
LEWISVILLE, TX
06/06/2002 - 02/07/2003
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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.