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NICHOLAS STEVEN HENGL
NICK STEVEN HENGL, Nicholas S Hengl, Nicholas Hengl, Nick S Hengl, Nick Hengl
CRD#: 6256081
IA
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DALEWOOD WEALTH MANAGEMENT, LLCCRD#: 333618 WALNUT CREEK, CA
0
Disclosures
8
Years of Experience
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State Registrations
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California 12/4/2024
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Registered with this firm since 12/4/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/06/2022 - 11/06/2024 | Berkeley, CA | |
IA | 11/23/2021 - 02/25/2022 | BERKELEY, CA | |
IA | 03/26/2019 - 11/03/2021 | SAN MATEO, CA | |
B | 05/19/2017 - 01/23/2019 | DANVILLE, CA | |
IA | 02/03/2014 - 09/10/2014 | WALNUT CREEK, CA | |
B | 11/19/2013 - 09/10/2014 | WALNUT CREEK, 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.