Individual Firm
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MATTHEW KYLE TRAUB
CRD#: 6261422
IA
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MARINER WEALTHCRD#: 140195 1676 N. California Blvd.
Ste. 550
Walnut Creek, CA 94596
Ste. 550
Walnut Creek, CA 94596
0
Disclosures
10
Years of Experience
View By:
State Registrations
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California 12/1/2022
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Registered with this firm since 12/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/10/2019 - 11/18/2022 | BERKELEY, CA | |
IA | 03/30/2017 - 12/16/2019 | SAN FRANCISCO, CA | |
IA | 04/02/2015 - 10/11/2016 | SAN FRANCISCO, CA | |
B | 09/25/2014 - 10/11/2016 | SAN FRANCISCO, CA | |
B | 12/23/2013 - 06/06/2014 | NEW YORK, NY |
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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.
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.