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STEVE TAWADROUS
STEVE SAM TAWADROUS, Steve Tawadrous
CRD#: 5432841
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 HIGHLAND VILLAGE, TX
CETERA ADVISORS LLCCRD#: 10299 HIGHLAND VILLAGE, TX
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6/23/2001
Criminal
Final Disposition
State Registrations
B
Florida 1/3/2025
B
Texas 9/19/2022
B
Minnesota 9/20/2022
IA
Texas 3/21/2024
B
New Hampshire 9/28/2022
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
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Registered with this firm since 9/16/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/19/2022 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 10/15/2020 - 08/23/2022 | Arlington, TX | |
B | 10/14/2020 - 08/23/2022 | Arlington, TX | |
IA | 01/08/2016 - 03/19/2020 | STEPHENVILLE, TX | |
B | 01/08/2016 - 03/19/2020 | STEPHENVILLE, TX | |
IA | 05/28/2013 - 01/21/2016 | DALLAS, TX | |
B | 05/10/2013 - 01/21/2016 | DALLAS, TX | |
IA | 04/18/2012 - 04/03/2013 | DALLAS, TX | |
B | 08/19/2010 - 04/03/2013 | DALLAS, TX | |
B | 03/24/2008 - 07/22/2010 | WESTLAKE, TX |
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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.