Individual Firm
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STEVEN WADE FANGUY
CRD#: 5860323
IA
B
NEWEDGE ADVISORSCRD#: 171351 110 Avenue of Oaks
Destrehan, LA 70047
Destrehan, LA 70047
LPL FINANCIAL LLCCRD#: 6413 858 CAMP STREET
NEW ORLEANS, LA 70130-3704
NEW ORLEANS, LA 70130-3704
0
Disclosures
14
Years of Experience
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State Registrations
B
Alabama 7/20/2021
IA
Louisiana 11/18/2015
IA
California 12/16/2020
B
Mississippi 11/17/2015
B
California 1/2/2022
B
New York 10/23/2024
B
Florida 8/17/2020
B
Texas 11/17/2015
B
Iowa 12/14/2021
IA
Texas 11/20/2015
B
Louisiana 11/17/2015
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 11/18/2015
B
Registered with this firm since 11/17/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/28/2015 - 11/18/2015 | SEATTLE, WA | |
B | 01/02/2015 - 11/18/2015 | LAPLACE, LA | |
IA | 03/12/2014 - 01/28/2015 | LAPLACE, LA | |
B | 11/16/2010 - 01/02/2015 | LAPLACE, LA |
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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.