Individual Firm
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DONALD WEIS
CRD#: 5112016
IA
B
HORNOR, TOWNSEND & KENT, LLCCRD#: 4031 LUTZ, FL
0
Disclosures
18
Years of Experience
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State Registrations
B
Florida 11/15/2024
B
Pennsylvania 11/15/2024
IA
Florida 11/19/2024
B
South Carolina 11/15/2024
B
New York 11/15/2024
B
Tennessee 3/7/2025
IA
New York 11/18/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2023 - 10/30/2024 | FISHKILL, NY | |
B | 12/05/2023 - 10/30/2024 | FISHKILL, NY | |
IA | 06/23/2015 - 12/19/2023 | NEW WINDSOR, NY | |
B | 06/06/2006 - 12/19/2023 | NEW WINDSOR, NY |
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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.