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BEN MICHAEL BOUMAN
CRD#: 5676779
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2610 TRINITY DR STE 10
LOS ALAMOS, NM 87544
LOS ALAMOS, NM 87544
CETERA ADVISORS LLCCRD#: 10299 2610 TRINITY DR STE 10
LOS ALAMOS, NM 87544
LOS ALAMOS, NM 87544
0
Disclosures
15
Years of Experience
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State Registrations
B
Alabama 11/23/2022
B
Oklahoma 4/14/2020
B
Arizona 11/24/2020
B
Oregon 9/18/2024
B
Colorado 7/24/2013
B
Tennessee 6/23/2021
B
Massachusetts 8/11/2021
B
Texas 3/29/2016
B
Minnesota 12/7/2022
IA
Texas 3/21/2024
B
New Jersey 10/29/2021
B
Vermont 3/29/2016
B
New Mexico 7/24/2013
B
Washington 3/31/2016
IA
New Mexico 3/21/2024
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 7/24/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/24/2013 - 03/21/2024 | SANTA FE, NM | |
IA | 01/18/2010 - 08/01/2013 | LOS ALAMOS, NM | |
B | 01/01/2010 - 08/01/2013 | LOS ALAMOS, NM |
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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.