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Detailed Report
CIRO GILBERT CAVAZOS
NICHOLAS CAVAZOS
CRD#: 4438921
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Previous Investment Adviser
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Previous Broker
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
2004200620082010201220142016IAEDWARD JONES (CRD# 250)2008 - 2011 (2 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2008 - 2008 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2003 - 2008 (4 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2007 (<1 year)
Disclosure(s)
View By:
8/4/2016
Regulatory
Final
Previous Registration(s)
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 10/28/2008 - 07/29/2011 EDWARD JONES (CRD#:250) PARADISE, CA
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 01/22/2008 - 11/03/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHICO, CA
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 11/07/2003 - 01/29/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PARADISE, CA
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 10/26/2007 - 10/26/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICO, CA
For additional information about investment advisers or broker-dealers, please visit
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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.