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ADELINO A DIAS
ADELINO ALVES DIAS
CRD#: 4639130
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 West New York, NJ
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Disclosures
21
Years of Experience
View By:
State Registrations
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California 7/29/2019
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New Jersey 10/15/2018
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Colorado 12/17/2021
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New York 6/28/2018
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Florida 2/14/2019
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New York 8/17/2021
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Massachusetts 8/7/2019
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North Carolina 12/23/2021
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New Jersey 10/12/2018
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Oregon 8/6/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/15/2018
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Registered with this firm since 6/28/2018
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Registered with this firm since 6/28/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/01/2008 - 06/19/2018 | NEW YORK, NY | |
B | 07/26/2007 - 10/01/2008 | NEW YORK, NY | |
IA | 05/29/2007 - 07/02/2007 | NEW YORK, NY | |
B | 05/29/2007 - 07/02/2007 | NEW YORK, NY | |
IA | 09/20/2006 - 05/29/2007 | NEW YORK, NY | |
B | 03/24/2003 - 05/29/2007 | 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.