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GEOFFREY DANIEL STEPHENS
GEOFFREY STEPHENS, Geoff Stephens
CRD#: 6523274
IA
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WELLS FARGO ADVISORSCRD#: 19616 2361 DICK POND RD
SURFSIDE BEACH, SC 29575
SURFSIDE BEACH, SC 29575
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Disclosures
8
Years of Experience
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State Registrations
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South Carolina 6/2/2023
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South Carolina 6/2/2023
SRO Registrations
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Registered with this firm since 6/2/2023
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Registered with this firm since 6/2/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/12/2022 - 09/28/2022 | WILMINGTON, NC | |
B | 08/12/2022 - 09/28/2022 | WILMINGTON, NC | |
IA | 06/28/2017 - 04/06/2022 | WILMINGTON, NC | |
B | 02/24/2017 - 04/06/2022 | WILMINGTON, NC | |
B | 08/12/2015 - 02/13/2017 | Charlotte, NC |
WILMINGTON, NC
08/12/2022 - 09/28/2022
WILMINGTON, NC
08/12/2022 - 09/28/2022
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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.
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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.