Individual Firm
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Seth Daniel Cave
SETH CAVE
CRD#: 7374209
IA
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ELLERBROCK-NORRIS WEALTH STRATEGIES LLCCRD#: 295099 4331 NORTH 156TH STREET
OMAHA, NE 68116
OMAHA, NE 68116
0
Disclosures
3
Years of Experience
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State Registrations
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Nebraska 4/15/2024
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Registered with this firm since 4/15/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/01/2022 - 04/05/2024 | OMAHA, NE | |
B | 06/06/2022 - 04/05/2024 | OMAHA, NE | |
B | 07/07/2021 - 02/11/2022 | SCOTTSDALE, AZ |
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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.
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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.