Individual Firm
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William C Malagodi
CRD#: 5588753
IA
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SHP WEALTH MANAGEMENT, LLCCRD#: 174697 225 WATER ST
SUITE C210
PLYMOUTH, MA 02360
SUITE C210
PLYMOUTH, MA 02360
0
Disclosures
11
Years of Experience
View By:
State Registrations
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Massachusetts 4/8/2019
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Registered with this firm since 4/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/02/2016 - 12/06/2017 | WELLESLEY, MA | |
B | 08/02/2016 - 12/06/2017 | WELLESLEY, MA | |
IA | 04/29/2016 - 06/29/2016 | HANOVER, MA | |
B | 04/29/2016 - 06/29/2016 | HANOVER, MA | |
IA | 06/30/2014 - 04/14/2016 | LONG BEACH, CA | |
B | 10/28/2011 - 04/14/2016 | LONG BEACH, CA |
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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.