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Lei Jiao
CRD#: 6407162
IA
B
IP FINANCIAL ADVISORY SERVICES LLCCRD#: 305772 5950 FAIRVIEW ROAD, SUITE 140
CHARLOTTE, NC 28210
CHARLOTTE, NC 28210
INNOVATION PARTNERS LLCCRD#: 146344 5950 FAIRVIEW ROAD
SUITE 140
CHARLOTTE, NC 28210
SUITE 140
CHARLOTTE, NC 28210
0
Disclosures
8
Years of Experience
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State Registrations
IA
North Carolina 3/21/2022
SRO Registrations
B
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IA
Registered with this firm since 3/21/2022
B
Registered with this firm since 4/7/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/04/2022 - 03/08/2022 | CHARLOTTE, NC | |
B | 03/04/2022 - 03/08/2022 | CHARLOTTE, NC | |
IA | 09/14/2015 - 09/16/2020 | Charlotte, NC | |
B | 01/09/2015 - 09/16/2020 | Charlotte, NC |
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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.