Individual Firm
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Keandra S Hughes
Keandra S Carroll, Keandra Shante Carroll, Keandra Carroll
CRD#: 7432749
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
HOUSTON, TX 77056
0
Disclosures
3
Years of Experience
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State Registrations
B
California 1/10/2025
B
Texas 3/2/2023
B
North Carolina 2/27/2023
IA
Texas 3/7/2023
IA
North Carolina 2/27/2023
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 2/27/2023
B
Registered with this firm since 2/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/2022 - 01/04/2023 | Charlotte, NC | |
B | 06/06/2022 - 01/04/2023 | Charlotte, NC | |
IA | 03/01/2022 - 05/24/2022 | CORNELIUS, NC | |
B | 12/20/2021 - 05/24/2022 | CORNELIUS, NC |
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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.