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FRED M SURGANTY
FRED SURGANTY
CRD#: 5449355
IA
B
SPCCRD#: 110692 16 Inverness Place East D-200
Englewood, CO 80112
Englewood, CO 80112
PARKLAND SECURITIES, LLCCRD#: 115368 16 Inverness Place E
D-200
Englewood, CO 80112
D-200
Englewood, CO 80112
0
Disclosures
15
Years of Experience
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State Registrations
B
California 9/9/2024
IA
Colorado 9/9/2024
B
Colorado 9/9/2024
SRO Registrations
B
B
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IA
Registered with this firm since 9/9/2024
B
Registered with this firm since 9/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 09/19/2024 | Lone Tree, CO | |
B | 05/04/2016 - 09/19/2024 | Lone Tree, CO | |
B | 05/14/2009 - 04/20/2016 | DENVER, CO |
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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.