Individual Firm
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Bruce Michael DeVoogd
BRUCE M DEVOOGD, BRUCE DEVOOGD
CRD#: 4800573
IA
B
IP FINANCIAL ADVISORY SERVICES LLCCRD#: 305772 Katy, TX
INNOVATION PARTNERS LLCCRD#: 146344 Katy, TX
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8/22/2022
Judgment / Lien
8/15/2022
Judgment / Lien
12/8/2021
Judgment / Lien
State Registrations
B
Florida 6/15/2017
B
Texas 6/15/2017
B
Michigan 6/15/2017
IA
Texas 12/3/2021
IA
Michigan 1/9/2020
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/06/2017 - 09/14/2020 | Richmond, TX | |
IA | 07/26/2010 - 06/19/2017 | WINTER PARK, FL | |
B | 03/07/2006 - 06/19/2017 | WINTER PARK, FL | |
B | 01/01/2005 - 03/01/2006 | NEW YORK, NY |
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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.