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REY LOUIE CARANDANG
CRD#: 4690831
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 611 Anton Blvd Ste 200
Costa Mesa, CA 92626
Costa Mesa, CA 92626
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Arizona 11/3/2023
B
Missouri 11/3/2023
B
Arkansas 11/3/2023
B
Nevada 11/3/2023
IA
California 8/21/2023
B
New Jersey 11/22/2023
B
California 11/3/2023
B
New York 11/3/2023
B
Colorado 11/3/2023
B
North Carolina 11/3/2023
B
Connecticut 11/3/2023
B
Oklahoma 11/3/2023
B
Delaware 11/3/2023
B
Pennsylvania 11/3/2023
B
District of Columbia 11/3/2023
B
South Carolina 11/3/2023
B
Florida 11/3/2023
B
Tennessee 11/3/2023
B
Hawaii 11/3/2023
B
Texas 11/3/2023
B
Idaho 11/22/2023
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Texas 2/28/2025
B
Kentucky 11/22/2023
B
Utah 11/3/2023
B
Louisiana 11/3/2023
B
Virgin Islands 11/3/2023
B
Maryland 11/3/2023
B
Virginia 11/3/2023
B
Massachusetts 11/3/2023
B
Washington 11/3/2023
B
Michigan 11/3/2023
B
Wyoming 11/3/2023
B
Minnesota 11/3/2023
SRO Registrations
B
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B
Registered with this firm since 11/3/2023
IA
Registered with this firm since 8/21/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/29/2011 - 11/06/2023 | COSTA MESA, CA | |
B | 03/29/2011 - 11/03/2023 | COSTA MESA, CA | |
IA | 12/20/2005 - 10/30/2009 | COSTA MESA, CA | |
B | 10/18/2005 - 10/30/2009 | COSTA MESA, CA | |
B | 03/01/2004 - 10/17/2005 | PHILADELPHIA, PA |
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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.