Individual Firm
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ALEXANDER ELLIOTT NEWMAN
ALEX E NEWMAN, ALEX NEWMAN, ALEXANDER NEWMAN
CRD#: 6015559
IA
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GRAPE MODERN WEALTH MANAGEMENTCRD#: 319261 31285 TEMECULA PARKWAY
SUITE C8-235
TEMECULA, CA 92592
SUITE C8-235
TEMECULA, CA 92592
View By:
4/27/2022
Employment Separation After Allegations
State Registrations
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California 5/2/2022
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Registered with this firm since 5/2/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/23/2017 - 05/17/2022 | MURRIETA, CA | |
B | 06/23/2017 - 05/17/2022 | MURRIETA, CA | |
IA | 12/03/2013 - 07/06/2017 | ESCONDIDO, CA | |
B | 10/01/2012 - 07/06/2017 | ESCONDIDO, CA | |
B | 08/13/2012 - 10/01/2012 | CARLSBAD, CA |
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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.
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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.