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MATTHEW KURT WOODS
CRD#: 5851483
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
0
Disclosures
13
Years of Experience
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State Registrations
B
Colorado 10/3/2019
B
South Carolina 4/29/2015
IA
Colorado 10/3/2019
SRO Registrations
B
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IA
Registered with this firm since 1/26/2015
B
Registered with this firm since 1/21/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/07/2014 - 12/31/2014 | CHARLOTTE, NC | |
B | 03/07/2014 - 12/31/2014 | CHARLOTTE, NC | |
B | 10/12/2011 - 02/19/2014 | GREENSBORO, NC |
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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.