Individual Firm
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Josh D Millang
JOSH DONALD MILLANG, JOSH MILLANG
CRD#: 5106466
IA
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SIGNAL ADVISORS WEALTH, LLCCRD#: 301086 CLIVE, IA
View By:
7/4/2017
Customer Dispute
Settled
State Registrations
IA
Iowa 2/21/2024
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/08/2023 - 03/19/2024 | CLIVE, IA | |
IA | 05/13/2022 - 12/04/2023 | Clive, IA | |
IA | 10/17/2018 - 12/31/2020 | Urbandale, IA | |
B | 09/06/2018 - 12/31/2020 | Urbandale, IA | |
IA | 10/20/2014 - 09/17/2018 | URBANDALE, IA | |
B | 10/20/2014 - 09/17/2018 | URBANDALE, IA | |
IA | 08/22/2011 - 10/20/2014 | Clive, IA | |
B | 06/24/2008 - 10/20/2014 | Clive, IA | |
B | 09/07/2007 - 06/18/2008 | CLIVE, IA | |
B | 10/20/2006 - 09/11/2007 | CHARLOTTE, NC |
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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.