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THOMAS EDWARD SHERZAN
CRD#: 6283880
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1089 JORDAN CREEK PKWY
SUITE 370
WEST DES MOINES, IA 50266
SUITE 370
WEST DES MOINES, IA 50266
AVANTAX INVESTMENT SERVICES, INC.CRD#: 13686 1089 JORDAN CREEK PKWY
SUITE 370
WEST DES MOINES, IA 50266
SUITE 370
WEST DES MOINES, IA 50266
0
Disclosures
10
Years of Experience
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State Registrations
IA
Iowa 6/29/2023
SRO Registrations
B
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B
Registered with this firm since 7/1/2024
IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 6/10/2021
B
Registered with this firm since 6/10/2021
B
Registered with this firm since 6/10/2021
B
Registered with this firm since 6/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 06/29/2023 | EL SEGUNDO, CA | |
B | 06/10/2021 - 09/08/2022 | W Des Moines, IA | |
IA | 02/20/2019 - 06/09/2021 | DES MOINES, IA | |
B | 02/19/2019 - 06/09/2021 | DES MOINES, IA | |
B | 11/09/2017 - 01/02/2019 | WEST DES MOINES, IA | |
IA | 05/13/2014 - 11/01/2018 | WEST DES MOINES, IA |
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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.