Individual Firm
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REBECCA ROSE FROHLICH
REBECCA ROSE MILES
CRD#: 4454444
IA
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FAIRWAY ASSET MANAGEMENT, LLCCRD#: 146636 17445 ARBOR STREET
SUITE 200
OMAHA, NE 68130-4645
SUITE 200
OMAHA, NE 68130-4645
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1/16/1995
Criminal
Final Disposition
State Registrations
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California 7/18/2017
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Missouri 6/15/2017
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Florida 8/10/2017
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Nebraska 5/13/2015
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Georgia 2/22/2018
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North Dakota 8/6/2017
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Iowa 6/23/2017
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Ohio 7/6/2017
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Mississippi 8/24/2017
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Texas 6/19/2017
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Registered with this firm since 5/13/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/14/2011 - 05/05/2015 | OMAHA, NE | |
B | 11/11/2011 - 05/05/2015 | OMAHA, NE | |
B | 11/11/2010 - 11/11/2011 | OMAHA, NE | |
IA | 06/01/2009 - 12/10/2009 | OMAHA, NE | |
B | 06/01/2009 - 12/10/2009 | OMAHA, NE | |
IA | 06/15/2007 - 06/01/2009 | OMAHA, NE | |
B | 07/20/2005 - 06/01/2009 | OMAHA, NE | |
B | 10/11/2002 - 07/12/2005 | PURCHASE, NY |
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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.
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