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JULIE J FOONG
JULIE FOONG, JULIE J LEE
CRD#: 5710582
IA
B
SOVRAN ADVISORS, LLCCRD#: 329415 150 S LOS ROBLES AVE
SUITE 750
PASADENA, CA 91101
SUITE 750
PASADENA, CA 91101
CETERA ADVISOR NETWORKS LLCCRD#: 13572 150 S LOS ROBLES AVE
STE 750
PASADENA, CA 91101
STE 750
PASADENA, CA 91101
0
Disclosures
15
Years of Experience
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State Registrations
IA
California 2/19/2025
SRO Registrations
B
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IA
Registered with this firm since 2/19/2025
B
Registered with this firm since 2/19/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/01/2016 - 02/19/2025 | West Covina, CA | |
B | 11/29/2017 - 10/28/2021 | WEST COVINA, CA | |
IA | 11/29/2017 - 04/17/2018 | WEST COVINA, CA | |
IA | 10/11/2011 - 11/29/2017 | WEST COVINA, CA | |
B | 10/19/2009 - 11/29/2017 | WEST COVINA, CA |
WEST COVINA, CA
10/11/2011 - 11/29/2017
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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.