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STEPHANIE WILLIAMS GUANZINI
STEPHANIE WILLIAMS ALLEN, STEPHANIE LEE GUANZINI, STEPHANIE LEE WILLIAMS, STEPHANIE WILLIAMS
CRD#: 5664075
IA
B
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 440 South College Road
Wilmington, NC 28403
Wilmington, NC 28403
0
Disclosures
15
Years of Experience
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State Registrations
B
Alabama 11/19/2024
B
New Jersey 7/19/2022
B
Arizona 7/19/2022
IA
North Carolina 7/19/2022
B
Colorado 9/12/2022
B
North Carolina 8/1/2022
B
Florida 7/19/2022
B
Pennsylvania 9/12/2022
B
Georgia 1/14/2023
B
South Carolina 7/19/2022
B
Hawaii 9/12/2022
B
Tennessee 3/1/2024
B
Kansas 7/19/2022
B
Virginia 7/19/2022
B
Maryland 7/19/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 7/19/2022
B
Registered with this firm since 7/19/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/15/2013 - 07/25/2022 | WILMINGTON, NC | |
B | 11/15/2013 - 07/25/2022 | WILMINGTON, NC | |
IA | 12/02/2011 - 11/22/2013 | MOREHEAD CITY, NC | |
B | 12/02/2011 - 11/22/2013 | MOREHEAD CITY, NC | |
IA | 07/07/2009 - 12/05/2011 | WILMINGTON, NC | |
B | 06/25/2009 - 12/05/2011 | WILMINGTON, NC |
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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.