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Rachel Gustafson
RACHEL NICOLE FRANK, RACHEL N GUSTAFSON
CRD#: 6323899
IA
B
FINANCIAL INVESTMENT TEAM ("FIT")CRD#: 145724 15350 SW SEQUOIA PKWY
SUITE 150
PORTLAND, OR 97224
SUITE 150
PORTLAND, OR 97224
PEAK BROKERAGE SERVICES, LLCCRD#: 157045 15350 SW SEQUOIA PARKWAY 150
PORTLAND, OR 97224
PORTLAND, OR 97224
0
Disclosures
10
Years of Experience
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State Registrations
B
Oregon 2/12/2019
IA
Texas 3/5/2019
IA
Oregon 3/13/2019
SRO Registrations
B
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IA
Registered with this firm since 3/5/2019
B
Registered with this firm since 2/12/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/10/2015 - 01/24/2019 | PORTLAND, OR | |
B | 11/10/2014 - 01/24/2019 | PORTLAND, OR |
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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.