Individual Firm
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ADAM L WAY
CRD#: 4609168
IA
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GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLCCRD#: 316072 3200 CHERRY CREEK SOUTH DRIVE
SUITE 280
DENVER, CO 80209
SUITE 280
DENVER, CO 80209
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7/23/2015
Regulatory
Final
State Registrations
IA
Colorado 10/27/2021
IA
Texas 11/8/2021
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Registered with this firm since 10/26/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/02/2017 - 10/29/2021 | Denver, CO | |
B | 08/14/2017 - 10/29/2021 | Denver, CO | |
IA | 12/19/2014 - 10/26/2015 | DENVER, CO | |
B | 12/15/2014 - 10/26/2015 | DENVER, CO | |
B | 02/19/2004 - 01/07/2015 | DENVER, CO | |
IA | 02/06/2012 - 08/31/2012 | DENVER, CO |
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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.
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.
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