Individual Firm
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MARC STEVENS BATHGATE
CRD#: 5045724
IA
B
7TWOCRD#: 328900 Park City, UT
SILVER LEAF PARTNERS, LLCCRD#: 126694 Park City, UT
0
Disclosures
19
Years of Experience
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State Registrations
B
New York 8/22/2021
IA
Utah 5/14/2024
B
Utah 8/22/2021
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/21/2021 - 08/26/2021 | NEW YORK, NY | |
B | 04/23/2008 - 12/31/2020 | Park City, UT | |
B | 11/09/2005 - 12/31/2010 | GREENWOOD VILLAGE, CO |
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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.