Individual Firm
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MARK JOSEPH LANDAU
MARK J LANDAU
CRD#: 5072160
IA
B
MINICHMACGREGOR WEALTH MANAGEMENT, LLCCRD#: 151237 21 CONGRESS STREET
SUITE 203
SARATOGA SPRINGS, NY 12866
SUITE 203
SARATOGA SPRINGS, NY 12866
0
Disclosures
18
Years of Experience
View By:
State Registrations
IA
California 7/15/2019
IA
New York 5/9/2021
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Registered with this firm since 7/15/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2012 - 09/13/2018 | IRVINE, CA | |
B | 05/09/2012 - 09/13/2018 | IRVINE, CA | |
B | 02/07/2008 - 05/09/2012 | NEW YORK, NY | |
IA | 10/18/2007 - 02/04/2008 | WILLIAMSTOWN, MA | |
IA | 11/06/2006 - 10/19/2007 | WILLIAMSTOWN, MA | |
B | 02/13/2006 - 09/26/2006 | ALBANY, NY |
WILLIAMSTOWN, MA
11/06/2006 - 10/19/2007
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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.