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STEPHANIE C BRICE
STEPHANIE C COOK, STEPHANIE C MARKS
CRD#: 5109108
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1540 CORNERSTONE BLVD
STES 110 & 210
DAYTONA BEACH, FL 32117
STES 110 & 210
DAYTONA BEACH, FL 32117
0
Disclosures
18
Years of Experience
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State Registrations
B
Florida 6/22/2016
B
Georgia 6/22/2016
IA
Florida 6/23/2016
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 6/23/2016
B
Registered with this firm since 6/22/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/03/2010 - 06/13/2016 | ORMOND BEACH, FL | |
B | 12/02/2010 - 06/13/2016 | ORMOND BEACH, FL | |
IA | 09/27/2006 - 11/12/2010 | ST. AUGUSTINE, FL | |
B | 08/28/2006 - 11/12/2010 | ST. AUGUSTINE, FL |
ST. AUGUSTINE, FL
09/27/2006 - 11/12/2010
ST. AUGUSTINE, FL
08/28/2006 - 11/12/2010
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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.