Individual Firm
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SCOTT WILLIAM HUFF
CRD#: 4440866
IA
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RIVER WEALTH MANAGEMENT LLCCRD#: 309167 5054 PARAMOUNT BLVD.
MEDINA, OH 44256
MEDINA, OH 44256
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1/6/2014
Customer Dispute
Settled
State Registrations
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Ohio 5/4/2020
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Pennsylvania 12/11/2020
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Registered with this firm since 5/4/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/20/2016 - 06/01/2020 | Independence, OH | |
B | 09/01/2006 - 06/01/2020 | Westlake, OH | |
IA | 01/22/2014 - 06/30/2016 | CLEVELAND, OH | |
IA | 08/09/2007 - 04/07/2015 | CLEVELAND, OH | |
IA | 08/29/2005 - 08/22/2006 | WESTLAKE, OH | |
B | 01/02/2004 - 08/22/2006 | WESTLAKE, OH | |
B | 08/22/2001 - 12/03/2003 | GOLDEN, CO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.