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Joshua Keith Rushing
JOSH KEITH RUSHING, JOSH RUSHING, JOSHUA KEITH RUSHING
CRD#: 6399994
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 7025 N SCOTTSDALE RD STE 115 and 110
SCOTTSDALE, AZ 85253
SCOTTSDALE, AZ 85253
CETERA ADVISORS LLCCRD#: 10299 7025 N SCOTTSDALE RD STE 115 & 110
SCOTTSDALE, AZ 85253
SCOTTSDALE, AZ 85253
View By:
7/23/2023
Customer Dispute
Settled
1/28/2021
Customer Dispute
Settled
State Registrations
B
Alabama 12/19/2023
B
Minnesota 12/26/2023
B
Arizona 12/8/2023
B
Mississippi 12/11/2023
IA
Arizona 3/21/2024
B
Montana 12/11/2023
B
California 12/4/2023
B
New Mexico 12/13/2023
B
Florida 10/22/2024
B
North Carolina 1/2/2024
B
Georgia 12/4/2023
B
Tennessee 11/19/2024
B
Illinois 12/13/2023
B
Texas 12/2/2023
B
Indiana 1/19/2024
IA
Texas 3/21/2024
B
Massachusetts 5/24/2024
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 12/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/02/2023 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 01/15/2015 - 12/18/2023 | SCOTTSDALE, AZ | |
B | 11/17/2014 - 12/18/2023 | SCOTTSDALE, AZ |
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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.