Individual Firm
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SAM GRIFFIN LASHIN
SAM G LASHIN
CRD#: 6897361
IA
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CHARLES SCHWAB INVESTMENT MANAGEMENT, INCCRD#: 106753 4529 Sharon Road
Huntersville, NC 28078
Huntersville, NC 28078
0
Disclosures
6
Years of Experience
View By:
State Registrations
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North Carolina 1/3/2023
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Registered with this firm since 1/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/08/2022 - 12/22/2022 | Fort Myers, FL | |
B | 01/19/2022 - 12/22/2022 | WESTLAKE, TX | |
IA | 09/17/2021 - 02/11/2022 | Naples, FL | |
IA | 07/07/2020 - 02/11/2022 | Naples, FL | |
B | 10/29/2020 - 09/07/2021 | WESTLAKE, TX | |
IA | 05/10/2018 - 07/02/2020 | NAPLES, FL |
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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.
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.