Individual Firm
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SAMUEL EDWARD CODY DICK
SAMUEL EDWARD CODY DICK
CRD#: 4612694
IA
FAYEZ SAROFIM & CO.CRD#: 106584 TWO HOUSTON CENTER
2907
HOUSTON, TX 77010
2907
HOUSTON, TX 77010
0
Disclosures
14
Years of Experience
View By:
State Registrations
IA
Texas 6/15/2010
IA
Registered with this firm since 6/15/2010
IA
Registered with this firm since 6/15/2010
IA
Registered with this firm since 6/15/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/15/2010 - 03/26/2014 | HOUSTON, TX |
HOUSTON, TX
06/15/2010 - 03/26/2014
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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.
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.