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KIMBERLY DAWN CLARK
CRD#: 6274658
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 707 RIDGE ROAD
MUNSTER, IN 46321
MUNSTER, IN 46321
CETERA INVESTMENT SERVICES LLCCRD#: 15340 707 RIDGE ROAD
MUNSTER, IN 46321
MUNSTER, IN 46321
0
Disclosures
11
Years of Experience
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State Registrations
B
Illinois 4/21/2020
IA
Indiana 10/29/2019
B
Indiana 10/29/2019
SRO Registrations
B
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B
Registered with this firm since 10/29/2019
IA
Registered with this firm since 10/29/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/03/2014 - 10/24/2019 | EVERGREEN PARK, IL | |
B | 03/07/2014 - 10/24/2019 | EVERGREEN PARK, IL |
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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.