Individual Firm
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MICHAEL ADRIAN SHARP
MICHAEL A SHARP
CRD#: 6285241
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 6837 PEAVINE RD
CROSSVILLE, TN 38558
CROSSVILLE, TN 38558
CETERA INVESTMENT SERVICES LLCCRD#: 15340 6837 PEAVINE RD
CROSSVILLE, TN 38558
CROSSVILLE, TN 38558
View By:
1/3/2018
Customer Dispute
Denied
State Registrations
B
Alabama 7/17/2015
B
Oregon 7/16/2021
B
Arkansas 12/1/2015
B
Pennsylvania 11/3/2022
B
Florida 4/6/2016
B
South Carolina 12/13/2018
B
Georgia 1/17/2020
B
Tennessee 4/3/2015
B
Illinois 4/6/2016
IA
Tennessee 4/13/2015
B
Indiana 3/31/2023
IA
Texas 2/4/2019
B
Louisiana 8/23/2017
B
Texas 2/5/2019
B
Michigan 6/10/2021
B
Virginia 11/2/2020
B
Mississippi 11/16/2015
B
Washington 7/16/2021
B
North Carolina 5/27/2015
B
West Virginia 10/4/2023
B
Ohio 7/7/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/13/2015
B
Registered with this firm since 4/3/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/12/2014 - 03/18/2015 | HARRIMAN, TN | |
B | 02/25/2014 - 03/18/2015 | HARRIMAN, TN |
For additional information about investment advisers or broker-dealers, please visit
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.