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CAROLINE W SOBOLEWSKI
CAROLINE WINTER DAZET, CAROLINE WINTER SOBOLEWSKI
CRD#: 5132015
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 636 Carondelet
New Orleans, LA 70130
New Orleans, LA 70130
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 636 Carondelet
New Orleans, LA 70130
New Orleans, LA 70130
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Alabama 3/19/2024
IA
Louisiana 6/8/2023
B
California 12/16/2024
B
Mississippi 10/24/2023
B
Florida 7/13/2023
B
Rhode Island 7/13/2023
B
Louisiana 6/8/2023
B
Washington 4/15/2024
SRO Registrations
B
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B
Registered with this firm since 6/8/2023
IA
Registered with this firm since 6/8/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/06/2008 - 06/12/2023 | MANDEVILLE, LA | |
B | 07/02/2007 - 06/12/2023 | MANDEVILLE, LA | |
B | 01/09/2007 - 03/28/2007 | NEW ORLEANS, LA |
MANDEVILLE, LA
08/06/2008 - 06/12/2023
MANDEVILLE, LA
07/02/2007 - 06/12/2023
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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.