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Brice Sawyer Gibson
BRICE SAWYER GIBSON
CRD#: 6026286
IA
B
CAPTRUSTCRD#: 175112 5535 Currituck Drive, Suite 110
Wilmington, NC 28403
Wilmington, NC 28403
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 5535 Currituck Drive, Suite 110
Wilmington, NC 28403
Wilmington, NC 28403
0
Disclosures
13
Years of Experience
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State Registrations
B
Florida 2/5/2020
IA
North Carolina 2/3/2020
B
Georgia 2/5/2020
B
North Carolina 2/5/2020
SRO Registrations
B
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IA
Registered with this firm since 2/3/2020
B
Registered with this firm since 2/5/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/07/2015 - 03/30/2020 | WILMINGTON, NC | |
B | 12/04/2015 - 02/04/2020 | WILMINGTON, NC | |
IA | 12/04/2015 - 12/07/2015 | WILMINGTON, NC | |
IA | 06/25/2012 - 12/07/2015 | WILMINGTON, NC | |
B | 04/04/2012 - 12/07/2015 | WILMINGTON, NC |
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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.