Individual Firm
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VIVIA CRISTAL STROME
VIVIA CRISTAL SCHIMMING, Vivia Strome
CRD#: 5897934
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 75 MAIN STREET
OCCIDENTAL, CA 95465
OCCIDENTAL, CA 95465
View By:
10/12/2016
Customer Dispute
Settled
State Registrations
B
California 11/20/2024
IA
California 11/20/2024
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 11/20/2024
B
Registered with this firm since 11/20/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/08/2024 - 10/22/2024 | GUERNEVILLE, CA | |
B | 03/25/2024 - 10/22/2024 | GUERNEVILLE, CA | |
IA | 05/09/2016 - 11/10/2023 | PLEASANTON, CA | |
B | 12/28/2015 - 11/10/2023 | PLEASANTON, CA | |
B | 08/01/2011 - 12/24/2015 | GLENDALE, CA |
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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.