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JAMES GREGORY TRAUTWEIN
JIM TRAUTWEIN
CRD#: 853042
IA
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EQUITABLE ADVISORS, LLCCRD#: 6627 90 WOODBRIDGE CENTER DRIVE
7TH FLOOR
WOODBRIDGE, NJ 07095
7TH FLOOR
WOODBRIDGE, NJ 07095
0
Disclosures
34
Years of Experience
View By:
State Registrations
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Arkansas 4/12/2010
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North Carolina 11/1/2023
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Arkansas 5/4/2010
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North Carolina 1/22/2024
B
Florida 6/18/2013
B
Oregon 6/1/2017
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Florida 8/12/2015
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Oregon 6/16/2017
B
Missouri 4/23/2012
B
Pennsylvania 3/23/2018
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Missouri 2/27/2013
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Pennsylvania 3/27/2018
B
New Jersey 3/1/2004
B
South Carolina 8/7/2024
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New Jersey 10/19/2004
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South Carolina 8/12/2024
B
New York 9/27/2013
B
Vermont 4/13/2004
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New York 6/20/2021
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Vermont 10/10/2012
SRO Registrations
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Registered with this firm since 10/19/2004
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Registered with this firm since 3/1/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/09/2001 - 01/30/2004 | LINCOLN, NE | |
B | 06/03/1998 - 11/02/2000 | SPRINGFIELD, MA | |
B | 06/03/1998 - 11/02/2000 | NEW YORK, NY | |
B | 05/30/1984 - 03/23/1987 | ||
B | 10/28/1982 - 03/12/1984 | ||
B | 02/26/1982 - 02/27/1984 | ||
B | 06/01/1978 - 09/18/1981 |
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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.