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DAVID NATHAN STERLING
DAVID SCHWARTZBERG
CRD#: 4460988
IA
B
FIRST HORIZON ADVISORS, INCCRD#: 17117 180 Royal Palm mWay
Palm Beach, FL 33480
Palm Beach, FL 33480
0
Disclosures
23
Years of Experience
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State Registrations
B
Florida 10/2/2024
IA
Florida 10/8/2024
SRO Registrations
B
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IA
Registered with this firm since 10/8/2024
B
Registered with this firm since 10/2/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/12/2022 - 10/01/2024 | BOCA RATON, FL | |
B | 10/12/2022 - 10/01/2024 | BOCA RATON, FL | |
IA | 09/17/2015 - 07/21/2022 | STAMFORD, CT | |
B | 09/17/2015 - 07/21/2022 | STAMFORD, CT | |
IA | 09/15/2008 - 10/02/2015 | NEW YORK, NY | |
B | 09/15/2008 - 10/02/2015 | NEW YORK, NY | |
IA | 05/16/2007 - 09/24/2008 | NEW YORK, NY | |
B | 10/17/2001 - 09/24/2008 | 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.