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Jennifer L. Graves
JENNIFER LYNN GRAVES, JENNIFER GRAVES, Jennifer Lynn Hodges, Jennifer Lynn Presutti, Jennifer Presutti
CRD#: 6570526
IA
B
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 401 McCullough Dr
Ste 200
Charlotte, NC 28262
Ste 200
Charlotte, NC 28262
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 401 McCullough Dr
Ste 200
Charlotte, NC 28262
Ste 200
Charlotte, NC 28262
0
Disclosures
8
Years of Experience
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State Registrations
B
North Carolina 10/10/2022
IA
North Carolina 10/10/2022
SRO Registrations
B
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B
Registered with this firm since 10/10/2022
IA
Registered with this firm since 10/10/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/23/2021 - 10/01/2022 | Concord, NC | |
B | 09/23/2021 - 10/01/2022 | Concord, NC | |
IA | 04/21/2017 - 08/26/2021 | CONCORD, NC | |
B | 03/29/2017 - 08/26/2021 | CONCORD, NC | |
B | 02/27/2016 - 01/26/2017 | 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.