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Earl Gerard Seitz
Earl Sietz
CRD#: 6770300
IA
B
W&S BROKERAGE SERVICES, INC.CRD#: 8099 15373 Innovation Drive
Suite 253
San Diego, CA 92128-3428
Suite 253
San Diego, CA 92128-3428
0
Disclosures
5
Years of Experience
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State Registrations
B
Arizona 3/13/2023
B
Nevada 3/13/2023
IA
Arizona 3/21/2023
B
Texas 3/1/2023
B
California 2/24/2022
IA
Texas 3/1/2023
IA
California 5/14/2022
SRO Registrations
B
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IA
Registered with this firm since 5/14/2022
B
Registered with this firm since 2/24/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/09/2019 - 03/02/2020 | BLOOMINGTON, IL | |
IA | 07/31/2017 - 12/03/2018 | LA JOLLA, CA | |
B | 05/05/2017 - 12/03/2018 | LA JOLLA, CA |
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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.