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STEVEN ROBERT RAINEY
CRD#: 848136
IA
B
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 G4454 S SAGINAW STREET
BURTON, MI 48529
BURTON, MI 48529
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8/5/2009
Customer Dispute
Settled
State Registrations
B
California 10/31/2011
B
New York 10/28/2011
B
Colorado 12/14/2015
B
North Carolina 5/28/2014
B
Florida 10/31/2011
B
Ohio 9/1/2006
B
Illinois 10/31/2011
B
Tennessee 7/2/2021
B
Michigan 10/17/2000
B
Texas 5/23/2014
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Michigan 8/27/2010
SRO Registrations
B
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Registered with this firm since 8/27/2010
B
Registered with this firm since 10/17/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/23/1995 - 10/12/2000 | FLINT, MI | |
B | 09/29/1993 - 11/28/1994 | WARREN, MI |
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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.
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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.