Individual Firm
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STEPHEN ALEXANDER PEROVE
STEPHEN A PEROVE, STEVE PEROVE
CRD#: 704905
IA
B
CADARET GRANT & CO INCCRD#: 10641 Altoona, PA
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1/24/2004
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 1/24/2025
IA
Pennsylvania 12/19/2019
B
Florida 7/14/2021
B
South Carolina 7/14/2021
B
Ohio 1/6/2023
B
Virginia 1/6/2023
B
Pennsylvania 11/29/1993
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/03/1989 - 12/29/1993 | HOLLIDAYSBURG, PA | |
B | 02/22/1980 - 04/15/1989 | ||
B | 02/22/1980 - 04/15/1989 | ||
B | 02/22/1980 - 12/24/1986 |
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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.