Individual Firm
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ALLAN E WEISS
ALLAN WEISS
CRD#: 5520555
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 1 TOWN CENTER ROAD
10TH FLOOR
BOCA RATON, FL 33486
10TH FLOOR
BOCA RATON, FL 33486
View By:
12/15/2020
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 1/4/2019
B
Massachusetts 1/3/2017
B
Arkansas 9/4/2019
B
New Jersey 1/2/2015
B
California 1/4/2016
B
New York 1/2/2015
B
Colorado 8/19/2014
B
North Carolina 3/3/2017
B
Connecticut 1/4/2019
B
Ohio 9/26/2018
B
District of Columbia 1/3/2017
B
Oklahoma 1/4/2019
B
Florida 2/13/2013
B
Oregon 1/16/2019
IA
Florida 2/13/2013
B
Pennsylvania 1/4/2019
B
Georgia 1/4/2019
B
Tennessee 11/14/2024
B
Illinois 1/2/2015
B
Texas 1/4/2019
B
Kansas 1/4/2019
IA
Texas 1/18/2019
B
Kentucky 1/4/2019
B
Vermont 11/14/2024
B
Louisiana 1/16/2019
B
Virginia 1/4/2019
B
Maine 1/7/2019
B
Wisconsin 1/16/2019
B
Maryland 1/4/2019
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 2/13/2013
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Registered with this firm since 2/13/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/16/2009 - 02/13/2013 | FT. LAUDERDALE, FL | |
B | 07/10/2009 - 02/13/2013 | FT. LAUDERDALE, FL | |
IA | 11/13/2008 - 07/28/2009 | FORT LAUDERDALE, FL | |
B | 06/09/2008 - 07/28/2009 | FORT LAUDERDALE, FL |
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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.