Individual Firm
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SHANE MICHAEL SMALL
CRD#: 5458323
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 130 S EDGEWOOD DRIVE
Hagerstown, MD 21740
Hagerstown, MD 21740
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1990 MONOCACY BOULEVARD
FREDERICK, MD 21701
FREDERICK, MD 21701
0
Disclosures
15
Years of Experience
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State Registrations
B
Arizona 3/9/2017
B
Missouri 7/14/2022
B
Delaware 2/2/2023
B
Pennsylvania 11/3/2016
B
District of Columbia 7/8/2024
B
Virginia 1/23/2017
B
Maryland 11/3/2016
B
West Virginia 11/3/2016
IA
Maryland 11/3/2016
SRO Registrations
B
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IA
Registered with this firm since 11/3/2016
B
Registered with this firm since 11/3/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/02/2015 - 08/02/2016 | Hagerstown, MD | |
B | 08/14/2015 - 08/02/2016 | Hagerstown, MD | |
B | 02/29/2008 - 11/04/2013 | KING OF PRUSSIA, PA |
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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.