Individual Firm
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DANIEL BRADLEY DOLIN
CRD#: 4457916
IA
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PNC INVESTMENTSCRD#: 129052 CLEVELAND MAIN PNC INVESTMENTS
1900 EAST 9TH STREET
CLEVELAND, OH 44114
1900 EAST 9TH STREET
CLEVELAND, OH 44114
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2/1/2005
Customer Dispute
Closed-No Action
State Registrations
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Indiana 11/13/2009
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Ohio 11/13/2009
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Indiana 8/26/2013
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Ohio 8/26/2013
SRO Registrations
B
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Registered with this firm since 8/26/2013
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Registered with this firm since 11/13/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/14/2004 - 11/13/2009 | CLEVELAND, OH | |
B | 01/17/2003 - 04/21/2004 | COLUMBUS, OH | |
B | 11/12/2001 - 12/03/2002 | MINNEAPOLIS, MN | |
B | 11/12/2001 - 12/03/2002 | MINNEAPOLIS, MN |
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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.