Individual Firm
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WILLIAM HENRY PLATT
CRD#: 4558339
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MOMENTUM ADVISORSCRD#: 159574 1120 Avenue of the Americas
4th Floor
New York, NY 10036
4th Floor
New York, NY 10036
View By:
12/14/2020
Customer Dispute
Pending
State Registrations
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New York 4/6/2022
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Texas 1/6/2022
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North Carolina 4/7/2022
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Virginia 4/7/2022
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Registered with this firm since 1/6/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/12/2014 - 12/01/2023 | New York, NY | |
IA | 01/07/2020 - 12/31/2021 | New York, NY | |
IA | 01/31/2019 - 12/31/2019 | NEW YORK, NY | |
IA | 01/19/2017 - 12/31/2018 | New York, NY | |
IA | 01/21/2016 - 12/31/2016 | NEW YORK, NY | |
IA | 03/23/2015 - 12/31/2015 | NEW YORK, NY | |
IA | 05/05/2010 - 10/24/2014 | HOLBROOK, NY | |
B | 05/03/2010 - 10/01/2014 | NEW YORK, NY | |
B | 08/13/2002 - 05/14/2010 | NEW YORK, 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.
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.