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William Joseph Ries
WILLIAM RIES
CRD#: 4797125
IA
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EDWARD JONESCRD#: 250 100 MAIN STREET WEST
SLEEPY EYE, MN 56085
SLEEPY EYE, MN 56085
View By:
10/7/2008
Customer Dispute
Denied
State Registrations
B
Arizona 9/15/2004
B
Nebraska 4/10/2024
B
Arkansas 6/5/2024
B
Nevada 4/13/2006
B
Florida 9/15/2004
B
North Dakota 9/14/2004
B
Illinois 1/20/2023
B
Ohio 1/8/2024
B
Iowa 12/22/2020
B
Oregon 9/25/2023
B
Kansas 7/14/2021
B
South Dakota 6/1/2011
B
Louisiana 7/14/2009
B
Texas 1/4/2011
B
Minnesota 8/4/2004
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Texas 2/19/2019
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Minnesota 12/10/2013
B
Utah 6/17/2009
B
Missouri 7/8/2024
B
Wisconsin 3/8/2007
SRO Registrations
B
B
B
B
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Registered with this firm since 12/10/2013
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Registered with this firm since 7/7/2004
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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.
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