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Heather Blaine Brock
HEATHER B CRUCE, HEATHER C SWENBY
CRD#: 4879542
IA
B
FIRST COMMAND ADVISORY SERVICESCRD#: 281958 2591 US Hwy 17
Suite 201
Richmond Hill, GA 31324
Suite 201
Richmond Hill, GA 31324
FIRST COMMAND BROKERAGE SERVICES, INC.CRD#: 3641 2591 HWY 17
SUITE 200
RICHMOND HILL, GA 31324
SUITE 200
RICHMOND HILL, GA 31324
0
Disclosures
13
Years of Experience
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State Registrations
B
Arkansas 8/20/2021
B
South Carolina 11/28/2017
B
Florida 8/6/2020
B
Tennessee 11/2/2021
B
Georgia 11/12/2014
B
Texas 8/31/2020
IA
Georgia 12/15/2015
IA
Texas 8/31/2020
B
Kansas 7/5/2024
B
Virginia 1/5/2022
B
North Carolina 8/21/2019
SRO Registrations
B
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IA
Registered with this firm since 12/15/2015
B
Registered with this firm since 10/30/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/17/2014 - 12/15/2015 | FT WORTH, TX | |
IA | 09/02/2005 - 05/23/2008 | AIEA, HI | |
B | 02/25/2005 - 05/23/2008 | AIEA, HI | |
IA | 05/02/2005 - 09/02/2005 | FORT WORTH, TX |
FORT WORTH, TX
05/02/2005 - 09/02/2005
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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.