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MARK WILLIAM DEAKINS
MARK WILLIAMS DEAKINS
CRD#: 5973972
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 16133 Ventura Blvd.
STE 700
Encino, CA 91436
STE 700
Encino, CA 91436
CETERA ADVISOR NETWORKS LLCCRD#: 13572 16133 Ventura Blvd.
STE 700
Encino, CA 91436
STE 700
Encino, CA 91436
View By:
7/10/2024
Judgment / Lien
State Registrations
B
California 12/5/2022
B
New York 12/5/2022
IA
California 6/29/2023
B
North Carolina 9/13/2023
B
Colorado 12/5/2022
B
Oregon 12/5/2022
B
Florida 3/7/2024
B
South Carolina 3/1/2024
B
Georgia 12/5/2022
B
Texas 12/5/2022
B
Idaho 9/13/2023
IA
Texas 6/29/2023
B
Louisiana 12/20/2022
B
Utah 12/5/2022
B
New Mexico 12/5/2022
B
Washington 12/5/2022
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 12/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2022 - 06/29/2023 | ENCINO, CA | |
IA | 01/13/2014 - 12/13/2022 | ENCINO, CA | |
B | 01/10/2014 - 12/13/2022 | ENCINO, CA | |
IA | 01/06/2012 - 12/20/2013 | SHERMAN OAKS, CA | |
B | 01/06/2012 - 12/20/2013 | SHERMAN OAKS, CA | |
IA | 09/16/2011 - 01/06/2012 | WOODLAND HILLS, CA | |
B | 11/17/2011 - 01/06/2012 | WOODLAND HILLS, CA |
WOODLAND HILLS, CA
09/16/2011 - 01/06/2012
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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.