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Solomon Stewart
SOLOMON JOHN STEWART
CRD#: 5823172
IA
B
NFP RETIREMENT INC.CRD#: 121254 120 VANTIS
SUITE 400
ALISO VIEJO, CA 92656
SUITE 400
ALISO VIEJO, CA 92656
0
Disclosures
14
Years of Experience
View By:
State Registrations
IA
California 6/5/2014
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Registered with this firm since 6/5/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/29/2014 - 12/31/2017 | Aliso Viejo, CA | |
B | 05/09/2014 - 07/23/2014 | ALISO VIEJO, CA | |
B | 01/03/2012 - 11/21/2013 | SAN FRANCISCO, CA | |
B | 08/11/2010 - 12/31/2011 | SAN FRANCISCO, CA |
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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.