Individual Firm
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EDWARD A JETER
CRD#: 4543912
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 3060 Peachtree Road, NW, Suite 110
ATLANTA, GA 30305
ATLANTA, GA 30305
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9/18/2008
Customer Dispute
Denied
State Registrations
B
California 2/14/2020
B
Missouri 2/14/2020
B
Colorado 2/14/2020
B
Montana 2/14/2020
B
Delaware 4/12/2024
B
Nebraska 5/26/2021
B
District of Columbia 2/14/2020
B
New York 6/18/2024
B
Florida 3/2/2020
B
North Carolina 2/14/2020
B
Georgia 2/14/2020
B
Oregon 11/22/2022
IA
Georgia 3/3/2020
B
South Carolina 7/8/2020
B
Illinois 2/14/2020
B
Tennessee 2/14/2020
B
Indiana 9/14/2020
B
Texas 2/14/2020
B
Iowa 4/8/2020
IA
Texas 5/26/2021
B
Maryland 9/17/2024
B
Virgin Islands 2/14/2020
B
Michigan 2/14/2020
B
Virginia 2/14/2020
B
Minnesota 3/19/2020
B
Wisconsin 2/14/2020
B
Mississippi 2/14/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/3/2020
B
Registered with this firm since 2/14/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/26/2011 - 02/19/2020 | ATLANTA, GA | |
B | 04/18/2011 - 02/19/2020 | ATLANTA, GA | |
IA | 10/23/2009 - 04/20/2011 | ATLANTA, GA | |
B | 10/23/2009 - 04/20/2011 | ATLANTA, GA | |
IA | 03/08/2006 - 10/23/2009 | KENNESAW, GA | |
B | 02/17/2006 - 10/23/2009 | KENNESAW, GA | |
IA | 04/14/2004 - 02/24/2006 | ATLANTA, GA | |
B | 08/06/2002 - 02/24/2006 | ATLANTA, GA | |
IA | 12/06/2002 - 01/29/2003 | ATLANTA, GA |
For additional information about investment advisers or broker-dealers, please visit
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.