Individual Firm
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DANIEL PATRICK CONNALLY
CRD#: 4982932
IA
FAYEZ SAROFIM & CO.CRD#: 106584 TWO HOUSTON CENTER
2907
HOUSTON, TX 77010
2907
HOUSTON, TX 77010
0
Disclosures
11
Years of Experience
View By:
State Registrations
IA
Texas 12/6/2013
IA
Registered with this firm since 12/6/2013
IA
Registered with this firm since 12/6/2013
IA
Registered with this firm since 12/6/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/06/2013 - 03/26/2014 | HOUSTON, TX |
HOUSTON, TX
12/06/2013 - 03/26/2014
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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.
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.