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ALEX PALOMINO
Alex Palomino, alex xavier palomino
CRD#: 7441498
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 4375 EAST 4TH AVE
HIALEAH, FL 33013
HIALEAH, FL 33013
CETERA INVESTMENT SERVICES LLCCRD#: 15340 4375 EAST 4TH AVE
HIALEAH, FL 33013
HIALEAH, FL 33013
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6/20/2015
Criminal
Final Disposition
State Registrations
B
Alabama 9/10/2024
B
Florida 9/10/2024
IA
Florida 9/6/2024
B
Nebraska 10/23/2024
SRO Registrations
B
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IA
Registered with this firm since 9/6/2024
B
Registered with this firm since 9/4/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/21/2022 - 09/06/2024 | Weston, FL | |
B | 09/27/2022 - 09/06/2024 | NEW YORK, NY | |
B | 11/12/2021 - 01/05/2022 | MIAMI, FL |
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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.