Individual Firm
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Carl James Reed
CRD#: 7381600
IA
B
ONEASCENT FINANCIAL SERVICES LLCCRD#: 284549 Virginia Beach, VA
0
Disclosures
3
Years of Experience
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State Registrations
IA
Virginia 9/22/2023
IA
Registered with this firm since 9/22/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/04/2022 - 10/03/2023 | VAN WERT, OH | |
IA | 10/06/2022 - 09/26/2023 | Van Wert, OH | |
IA | 06/03/2022 - 12/31/2022 | VAN WERT, OH |
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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.