Individual Firm
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PAULA CHRISTINE HARDY
PAULA CHRISTINE BUSUTTIL, PAULA CHRISTINE ROTH, PAULA ROTH
CRD#: 4842052
IA
B
WELLS FARGO ADVISORSCRD#: 19616 140 E THOUSAND OAKS BLVD
THOUSAND OAKS, CA 91360
THOUSAND OAKS, CA 91360
0
Disclosures
20
Years of Experience
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State Registrations
B
California 1/3/2011
B
New Mexico 11/8/2019
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California 1/3/2011
B
Oregon 2/2/2024
B
Florida 2/25/2020
B
Texas 1/15/2019
B
Hawaii 5/24/2024
IA
Texas 1/15/2019
B
Idaho 4/5/2021
B
Utah 11/2/2023
B
Nevada 12/13/2019
B
Washington 5/24/2017
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/07/2007 - 01/03/2011 | THOUSAND OAKS, CA | |
B | 05/07/2007 - 01/03/2011 | THOUSAND OAKS, CA | |
B | 10/28/2004 - 05/11/2007 | THOUSAND OAKS, CA |
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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.
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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.