Individual Firm
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MARK BRADFORD JONES
CRD#: 4442200
IA
B
RISE ADVISORS, LLCCRD#: 309760 400 LINDEN OAKS
SUITE 120
ROCHESTER, NY 14625
SUITE 120
ROCHESTER, NY 14625
0
Disclosures
23
Years of Experience
View By:
State Registrations
IA
New York 11/9/2022
IA
Registered with this firm since 8/28/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/06/2016 - 03/23/2022 | Rochester, NY | |
IA | 01/06/2017 - 10/15/2020 | ROCHESTER, NY | |
IA | 11/17/2016 - 12/31/2016 | ROCHESTER, NY | |
IA | 01/04/2008 - 09/02/2016 | ROCHESTER, NY | |
B | 12/05/2005 - 09/02/2016 | ROCHESTER, NY | |
IA | 09/19/2006 - 12/31/2007 | ROCHESTER, NY | |
B | 03/17/2003 - 12/12/2005 | NEW YORK, NY | |
B | 04/10/2002 - 12/20/2002 | FAIRFIELD, IA | |
B | 10/26/2001 - 01/31/2002 | NEW YORK, NY |
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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.