Individual Firm
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DANIEL SPENCER PEREIRA
CRD#: 6265851
IA
B
HWA FINANCIAL GROUPCRD#: 120745 3448 ELLICOTT CENTER DRIVE, SUITE 101
ELLICOTT CITY, MD 21043
ELLICOTT CITY, MD 21043
0
Disclosures
9
Years of Experience
View By:
State Registrations
IA
Maryland 11/28/2023
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Texas 11/28/2023
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New Hampshire 11/28/2023
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Virginia 11/28/2023
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Registered with this firm since 11/28/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/22/2023 - 11/27/2023 | Tyson's Corner, VA | |
B | 08/22/2023 - 11/27/2023 | Tysons, VA | |
B | 06/26/2023 - 08/24/2023 | TYSONS CORNER, VA | |
IA | 03/22/2022 - 04/24/2023 | TOWSON, MD | |
IA | 10/05/2015 - 02/18/2022 | FREDERICK, MD | |
B | 08/24/2015 - 02/18/2022 | FREDERICK, MD |
FREDERICK, MD
10/05/2015 - 02/18/2022
FREDERICK, MD
08/24/2015 - 02/18/2022
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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.