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Samuel Walker Gault
CRD#: 7911602
IA
B
EDWARD JONESCRD#: 250 307 B EAST KING ST
KINGS MOUNTAIN, NC 28086
KINGS MOUNTAIN, NC 28086
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Disclosures
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Years of Experience
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State Registrations
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Florida 12/3/2024
B
North Carolina 7/15/2024
B
Georgia 12/3/2024
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North Carolina 7/15/2024
B
Illinois 12/3/2024
B
South Carolina 11/19/2024
B
Indiana 12/3/2024
B
Tennessee 9/10/2024
SRO Registrations
B
B
B
B
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Registered with this firm since 7/15/2024
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Registered with this firm since 6/17/2024
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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.