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DANA MARIE KILEY
DANA MARIE RUCKER, DANA MARIE SMITH
CRD#: 4435139
IA
B
SPIRE WEALTH MANAGEMENT, LLCCRD#: 113908 2050 MAIN STREET
SUITE 950
IRVINE, CA 92614
SUITE 950
IRVINE, CA 92614
SPIRE SECURITIES, LLCCRD#: 144131 2050 Main Street
Suite 950
IRVINE, CA 92614
Suite 950
IRVINE, CA 92614
0
Disclosures
23
Years of Experience
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State Registrations
IA
California 11/24/2015
B
California 1/25/2017
SRO Registrations
B
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IA
Registered with this firm since 11/24/2015
B
Registered with this firm since 10/15/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/01/2005 - 10/15/2012 | IRVINE, CA | |
B | 02/13/2002 - 04/08/2005 | MALVERN, PA |
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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.