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JOEL CHRISTOPHER SIMS
CRD#: 6006071
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 1000 TAMIAMI TRL N
NOKOMIS, FL 34275
NOKOMIS, FL 34275
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 1000 TAMIAMI TRL N
NOKOMIS, FL 34275
NOKOMIS, FL 34275
0
Disclosures
2
Years of Experience
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State Registrations
B
Florida 12/5/2022
IA
Florida 4/7/2023
SRO Registrations
B
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IA
Registered with this firm since 4/7/2023
B
Registered with this firm since 12/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/03/2012 - 07/18/2012 | CREVE COEUR, MO | |
B | 03/21/2012 - 07/18/2012 | CREVE COEUR, MO |
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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.