Individual Firm
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JOSEPHUS L TEURLINGS
JOEY TEURLINGS, JOSEPH TEURLINGS
CRD#: 4494404
IA
B
MONOCOT WEALTH MANAGEMENT, LLCCRD#: 282687 10161 PARK RUN DRIVE
STE 150
LAS VEGAS, NV 89145
STE 150
LAS VEGAS, NV 89145
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 10161 Park Run Drive
Suite 150
Las Vegas, NV 89138
Suite 150
Las Vegas, NV 89138
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10/2/2006
Customer Dispute
Denied
State Registrations
B
Arkansas 10/17/2019
IA
Nevada 9/9/2021
B
California 4/15/2016
B
Oregon 4/15/2016
IA
California 4/15/2016
B
South Carolina 10/1/2017
B
Florida 4/15/2016
B
Utah 4/15/2016
B
Nevada 4/15/2016
B
Washington 4/15/2016
SRO Registrations
B
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IA
Registered with this firm since 4/15/2016
B
Registered with this firm since 4/15/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2008 - 04/26/2016 | WESTLAKE VILLAGE, CA | |
B | 12/05/2008 - 04/26/2016 | WESTLAKE VILLAGE, CA | |
IA | 04/02/2007 - 12/08/2008 | THOUSAND OAKS, CA | |
B | 04/02/2007 - 12/08/2008 | THOUSAND OAKS, CA | |
IA | 07/18/2002 - 04/02/2007 | THOUSAND OAKS, CA | |
B | 07/18/2002 - 04/02/2007 | THOUSAND OAKS, CA | |
B | 01/24/2002 - 05/15/2002 | RENO, NV |
RENO, NV
01/24/2002 - 05/15/2002
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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.