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Brock Weston Sherwood
CRD#: 5894667
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 6011 SW 45TH AVE
AMARILLO, TX 79109
AMARILLO, TX 79109
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1/2/2020
Financial
Final
8/20/2019
Financial
Final
8/16/2019
Financial
Final
1/23/2018
Financial
Final
State Registrations
B
New Mexico 6/21/2021
B
Texas 6/17/2021
B
Oklahoma 6/18/2021
IA
Texas 6/17/2021
IA
Oklahoma 8/24/2023
SRO Registrations
B
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IA
Registered with this firm since 6/17/2021
B
Registered with this firm since 6/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/11/2011 - 09/16/2020 | CANYON, TX | |
B | 04/14/2011 - 09/16/2020 | CANYON, TX |
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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.