Individual Firm
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JERRY LEE BROUWER
CRD#: 4989525
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 RIPON, CA
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 RIPON, CA
0
Disclosures
18
Years of Experience
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State Registrations
IA
California 4/10/2012
B
Oregon 8/17/2021
B
California 4/19/2012
B
Texas 11/23/2022
B
Idaho 1/2/2021
IA
Texas 11/29/2022
B
Michigan 2/22/2022
B
Washington 8/23/2021
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/09/2007 - 12/31/2011 | RIPON, CA | |
B | 12/06/2006 - 12/31/2011 | RIPON, 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.