Individual Firm
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JOHN A SUAREZ
CRD#: 5793913
IA
B
NEWEDGE ADVISORSCRD#: 171351 Denver, CO
LPL FINANCIAL LLCCRD#: 6413 DENVER, CO
0
Disclosures
14
Years of Experience
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State Registrations
IA
Colorado 7/6/2020
B
New Mexico 5/20/2019
B
Colorado 7/10/2020
IA
North Carolina 4/17/2020
B
Louisiana 5/20/2019
B
Texas 5/20/2019
B
Mississippi 5/20/2019
IA
Texas 12/15/2020
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/01/2010 - 05/21/2019 | NEW ORLEANS, LA | |
B | 08/06/2010 - 05/21/2019 | NEW ORLEANS, LA |
NEW ORLEANS, LA
09/01/2010 - 05/21/2019
NEW ORLEANS, LA
08/06/2010 - 05/21/2019
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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.