Individual Firm
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EMILY RYAN DESIMONE
Emily R Desimone, EMILY RYAN O'HARA
CRD#: 4851860
IA
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STRATEGIC ADVISERS LLCCRD#: 104555 MOORPARK, CA
0
Disclosures
16
Years of Experience
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State Registrations
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California 12/9/2021
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Texas 5/24/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/23/2019 - 10/18/2021 | WOODLAND HILLS, CA | |
B | 09/06/2018 - 10/18/2021 | WOODLAND HILLS, CA | |
IA | 04/13/2015 - 01/23/2019 | BOSTON, MA | |
IA | 01/06/2011 - 05/09/2011 | BOSTON, MA | |
IA | 04/21/2005 - 12/31/2010 | BOSTON, MA | |
B | 11/23/2004 - 04/06/2005 | WALTHAM, MA |
BOSTON, MA
04/21/2005 - 12/31/2010
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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.
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.