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DERIC BERNARD GOVERNALE
CRD#: 4634000
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 530 HIGHLAND STATION DRIVE, STE. 1004
SUWANEE, GA 30024
SUWANEE, GA 30024
CETERA ADVISORS LLCCRD#: 10299 DACULA, GA
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Alabama 12/4/2024
B
Kentucky 12/4/2024
B
Arizona 12/4/2024
B
Massachusetts 12/4/2024
B
California 12/4/2024
B
North Carolina 12/9/2024
B
Colorado 1/30/2025
B
Ohio 12/4/2024
B
Florida 12/4/2024
B
Pennsylvania 12/4/2024
B
Georgia 12/4/2024
B
South Carolina 12/4/2024
IA
Georgia 12/5/2024
B
Texas 12/4/2024
B
Illinois 12/4/2024
B
Virginia 12/4/2024
B
Kansas 12/4/2024
SRO Registrations
B
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IA
Registered with this firm since 12/5/2024
B
Registered with this firm since 12/4/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/14/2018 - 12/06/2024 | SUWANEE, GA | |
B | 02/14/2018 - 12/06/2024 | SUWANEE, GA | |
IA | 01/17/2013 - 02/14/2018 | BUFORD, GA | |
B | 01/02/2013 - 02/14/2018 | BUFORD, GA | |
IA | 02/01/2010 - 01/03/2013 | SUWANEE, GA | |
B | 04/15/2003 - 01/03/2013 | SUWANEE, 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.