Individual Firm
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KEVIN DAUPHINEE
CRD#: 5847437
IA
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CREATIVEONE WEALTH, LLCCRD#: 281213 411 E. BONNEVILLE AVE, SUITE 430
LAS VEGAS, NV 89101
LAS VEGAS, NV 89101
View By:
7/25/2024
Customer Dispute
Pending
7/14/1975
Criminal
Final Disposition
State Registrations
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Arizona 4/29/2024
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Nevada 10/24/2023
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Registered with this firm since 10/24/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/28/2023 - 10/18/2023 | Las Vegas, NV | |
IA | 12/20/2022 - 10/16/2023 | Las Vegas, NV | |
IA | 03/09/2021 - 01/03/2023 | Las Vegas, NV | |
IA | 11/30/2016 - 03/05/2021 | Las Vegas, NV | |
B | 10/05/2016 - 03/05/2021 | LAS VEGAS, NV | |
IA | 08/25/2015 - 04/14/2016 | LAS VEGAS, NV | |
IA | 10/18/2013 - 04/11/2016 | HENDERSON, NV | |
IA | 10/18/2013 - 12/31/2013 | HENDERSON, NV | |
IA | 11/02/2012 - 08/30/2013 | GIG HARBOR, WA | |
B | 04/09/2012 - 07/25/2012 | HENDERSON, NV | |
B | 11/18/2010 - 03/05/2012 | LAS VEGAS, NV |
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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.
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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.