Individual Firm
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MOLLY MAE GRUBB
MOLLY MAE GREEN
CRD#: 5647291
IA
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DYNASTY FAMILY OFFICECRD#: 288431 WORTHINGTON, OH
View By:
5/29/2020
Customer Dispute
Settled
State Registrations
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Ohio 6/15/2017
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Texas 11/19/2018
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/28/2012 - 06/26/2017 | Columbus, OH | |
B | 09/27/2012 - 06/26/2017 | Columbus, OH | |
B | 07/14/2010 - 10/05/2012 | REYNOLDSBURG, OH | |
IA | 02/10/2010 - 07/07/2010 | REYNOLDSBURG, OH | |
B | 11/13/2009 - 07/07/2010 | REYNOLDSBURG, OH | |
B | 03/03/2009 - 11/13/2009 | REYNOLDSBURG, OH |
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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.
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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.