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RICHARD NEIL DIODOSIO
RICHARD N DIODOSIO, DIODOSIO
CRD#: 4876675
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY, SUITE 3300
DENVER REGIONAL
DENVER, CO 80202-5602
DENVER REGIONAL
DENVER, CO 80202-5602
0
Disclosures
19
Years of Experience
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State Registrations
B
Colorado 2/1/2007
B
North Dakota 4/16/2018
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Colorado 10/25/2012
B
South Dakota 11/18/2016
B
Kansas 2/1/2007
B
Texas 8/17/2023
B
Minnesota 1/28/2025
B
Washington 8/17/2023
B
Nebraska 2/1/2007
B
Wyoming 4/13/2018
B
New Mexico 4/13/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/25/2012
B
Registered with this firm since 2/1/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/03/2006 - 08/22/2006 | COLORADO SPRINGS, CO | |
B | 07/11/2005 - 02/07/2006 | PUEBLO, CO | |
B | 04/27/2005 - 07/26/2005 | OVERLAND PARK, KS |
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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.