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Andrew Jerome Kraffert-Gora
Andrew Jerome Kraffert
CRD#: 7565144
IA
B
BANGERTER FINANCIAL SERVICES, INC.CRD#: 171939 SAN DIEGO, CA
CONCORDE INVESTMENT SERVICES, LLCCRD#: 151604 1975 C Fifth Ave
San Diego, CA 92101
San Diego, CA 92101
0
Disclosures
2
Years of Experience
View By:
State Registrations
B
Arizona 10/12/2023
B
Michigan 3/13/2023
B
California 9/13/2022
B
Nevada 12/17/2022
IA
California 12/1/2022
B
New York 4/17/2023
B
Florida 12/19/2022
B
Tennessee 1/23/2024
B
Maryland 10/10/2023
B
Texas 12/19/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 12/1/2022
B
Registered with this firm since 9/13/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/31/2023 - 01/22/2025 | San Diego, CA | |
IA | 08/01/2022 - 09/14/2022 | Irvine, CA | |
B | 07/11/2022 - 09/14/2022 | Irvine, CA |
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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.