Individual Firm
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Robert Adam Burgess
CRD#: 6606240
IA
B
EDWARD JONESCRD#: 250 753 EAST MAIN STREET
SPARTANBURG, SC 29302
SPARTANBURG, SC 29302
View By:
8/1/2022
Customer Dispute
Denied
State Registrations
B
California 1/6/2021
B
North Carolina 9/25/2020
B
District of Columbia 1/4/2021
B
Ohio 1/4/2021
B
Florida 1/4/2021
B
South Carolina 9/25/2020
B
Georgia 1/6/2021
IA
South Carolina 9/25/2020
B
Illinois 1/4/2021
B
Tennessee 1/4/2021
B
Indiana 8/2/2024
B
Texas 9/18/2023
B
Louisiana 1/4/2021
IA
Texas 9/21/2023
B
Maryland 1/4/2021
B
Vermont 12/5/2022
B
Massachusetts 9/4/2024
B
Virginia 2/4/2022
B
Missouri 1/4/2021
B
Wisconsin 3/28/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/25/2020
B
Registered with this firm since 9/25/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2019 - 10/19/2020 | SPARTANBURG, SC | |
B | 02/04/2019 - 10/19/2020 | SPARTANBURG, SC | |
IA | 05/20/2016 - 02/14/2019 | SPARTANBURG, SC | |
B | 03/09/2016 - 02/14/2019 | SPARTANBURG, SC |
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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.