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MATTHEW FRANCIS ELY
MATT ELY, MATTHEW ELY
CRD#: 5847315
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3130 Chaparral Dr Ste 204
Bldg B
Roanoke, VA 24018
Bldg B
Roanoke, VA 24018
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Florida 1/3/2018
B
South Carolina 1/3/2018
B
Georgia 5/5/2023
B
South Dakota 1/3/2018
B
Maryland 1/28/2019
B
Tennessee 11/22/2024
B
New York 1/3/2018
B
Virginia 10/26/2015
B
North Carolina 1/3/2018
IA
Virginia 10/26/2015
B
Pennsylvania 1/3/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/26/2015
B
Registered with this firm since 10/26/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/28/2011 - 12/16/2014 | ROANOKE, VA | |
B | 07/08/2011 - 12/16/2014 | ROANOKE, VA | |
IA | 07/08/2011 - 07/08/2011 | ROANOKE, VA | |
IA | 11/16/2010 - 05/18/2011 | ST. LOUIS, MO | |
B | 10/29/2010 - 05/18/2011 | ST. LOUIS, MO |
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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.