Individual Firm
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RAYMOND CHARLES NASH
CRD#: 4454291
IA
B
M HOLDINGS SECURITIES, INC.CRD#: 43285 7005 S. Edgerton Road
Cleveland, OH 44141
Cleveland, OH 44141
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7/15/2011
Customer Dispute
Denied
12/3/2010
Customer Dispute
Denied
7/15/2010
Customer Dispute
Denied
State Registrations
B
Arizona 4/30/2009
B
Minnesota 10/14/2014
B
California 4/30/2009
B
Ohio 4/28/2009
B
Colorado 4/30/2009
IA
Ohio 4/29/2009
B
Florida 4/30/2009
B
Oklahoma 1/21/2016
B
Georgia 4/30/2009
B
Pennsylvania 4/30/2009
B
Illinois 10/29/2012
B
South Carolina 12/16/2019
B
Kentucky 3/13/2020
B
Texas 4/30/2009
B
Michigan 10/31/2012
B
Wyoming 12/14/2015
SRO Registrations
B
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IA
Registered with this firm since 4/29/2009
B
Registered with this firm since 4/28/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/15/2007 - 05/05/2009 | AKRON, OH | |
B | 02/13/2007 - 05/05/2009 | AKRON, OH | |
B | 11/12/2001 - 02/14/2007 | AKRON, OH |
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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.