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Joshua Miles Kettleson
Joshua Kettleson
CRD#: 4714652
IA
B
EDWARD JONESCRD#: 250 Wildwood, MO
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8/14/2015
Financial
Final
8/14/2015
Financial
Final
7/10/2013
Customer Dispute
Denied
State Registrations
IA
Missouri 11/22/2021
B
Missouri 2/23/2022
SRO Registrations
B
B
B
B
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B
Registered with this firm since 1/21/2022
IA
Registered with this firm since 11/22/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/08/2018 - 10/29/2021 | Weldon Spring, MO | |
IA | 10/24/2011 - 08/14/2015 | MATTOON, IL | |
IA | 01/02/2009 - 10/07/2011 | MATTOON, IL | |
B | 06/20/2008 - 09/09/2011 | MATTOON, IL | |
IA | 06/23/2008 - 01/02/2009 | MATTOON, IL | |
IA | 02/12/2007 - 06/19/2008 | MATTOON, IL | |
B | 11/11/2003 - 06/19/2008 | MATTOON, IL |
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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.