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Detailed Report
Cory James Tinsley
CORY JAMES TINSLEY, CORY TINSLEY
CRD#: 4434244
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20082010201220142016201820202022IAAXA ADVISORS, LLC (CRD# 6627)2015 - 2016 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - 2015 (<1 year)IAM&T SECURITIES, INC. (CRD# 17358)2008 - 2009 (1 year)
Disclosure(s)
View By:
8/31/2022
Regulatory
Final
2/9/2021
Employment Separation After Allegations
Previous Registration(s)
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 10/26/2015 - 07/25/2016 AXA ADVISORS, LLC (CRD#:6627) ROCHESTER, NY
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 07/14/2014 - 04/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PITTSFORD, NY
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 07/07/2008 - 09/21/2009 M&T SECURITIES, INC. (CRD#:17358) ROCHESTER, NY
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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.
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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
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.