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Registration History
19801985199019952000200520102015202020252 FIRMS2012 - 2014 (2 years)3 FIRMS2014 - 2017 (2 years)IAONEDIGITAL INVESTMENT ADVISORS (CRD# 106766)2017 - Present (7 years)BAXA ADVISORS, LLC (CRD# 6627)1980 - 2012 (31 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1980 - 2000 (19 years)IAAXA ADVISORS, LLC (CRD# 6627)2004 - 2012 (7 years)
Disclosure(s)
View By:
8/27/2012
Judgment / Lien
2/9/2010
Customer Dispute
Denied
6/25/2009
Customer Dispute
Denied
10/30/2007
Customer Dispute
Denied
12/28/1995
Customer Dispute
Settled
License(s)

State Registrations

IA
Georgia 5/12/2017

Current Registration(s)
IA
ONEDIGITAL INVESTMENT ADVISORS (CRD#:106766)
Suwanee, GA
Registered with this firm since 5/12/2017

Previous Registration(s)
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IA
09/11/2014 - 07/20/2017 ADVISEME NATIONAL ADVISORS (CRD#:141129) LILBURN, GA
IA
08/07/2014 - 05/01/2017 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Lawrenceville, GA
B
08/06/2014 - 05/01/2017 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Lawrenceville, GA
IA
04/11/2012 - 08/05/2014 FINANCIAL TELESIS, INC. (CRD#:31012) LILBURN, GA
B
04/09/2012 - 08/05/2014 FINANCIAL TELESIS INC (CRD#:31012) LILBURN, GA
IA
04/14/2004 - 03/21/2012 AXA ADVISORS, LLC (CRD#:6627) LILBURN, GA
B
10/20/1980 - 03/21/2012 AXA ADVISORS, LLC (CRD#:6627) LILBURN, GA
B
07/28/1980 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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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
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.