Individual Firm
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BROCK JUSTIN BRADY
CRD#: 4638576
IA
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AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 11201 SE 8th St Ste 115
Bellevue, WA 98004
Bellevue, WA 98004
View By:
10/20/2022
Customer Dispute
Settled
State Registrations
IA
Washington 4/22/2024
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Washington 5/3/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 4/22/2024
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Registered with this firm since 5/1/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 07/15/2022 | BELLEVUE, WA | |
B | 06/09/2021 - 07/15/2022 | BELLEVUE, WA | |
IA | 03/06/2008 - 06/09/2021 | BELLEVUE, WA | |
B | 02/21/2008 - 06/09/2021 | BELLEVUE, WA | |
IA | 04/22/2003 - 02/21/2008 | BELLEVUE, WA | |
B | 04/22/2003 - 02/21/2008 | BELLEVUE, WA |
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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.