Individual Firm
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Hubert Waldo Stokes
HURBERT WALDO STOKES, Bert Stokes
CRD#: 4891785
IA
B
EDWARD JONESCRD#: 250 3301 WATT AVE SUITE 700
SACRAMENTO, CA 95821
SACRAMENTO, CA 95821
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Arizona 6/28/2024
B
Mississippi 5/1/2024
B
California 2/12/2024
B
Oregon 6/11/2024
IA
California 2/12/2024
B
South Carolina 6/26/2024
B
Florida 10/7/2024
B
South Dakota 9/23/2024
B
Idaho 11/5/2024
B
Virginia 5/7/2024
B
Michigan 6/7/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 2/12/2024
B
Registered with this firm since 2/12/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/27/2022 - 11/01/2023 | Folsom, CA | |
B | 07/26/2007 - 11/01/2023 | FOLSOM, CA | |
IA | 12/19/2005 - 07/30/2007 | ROSEVILLE, CA | |
B | 02/01/2005 - 07/30/2007 | ROSEVILLE, 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.
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.