Individual Firm
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BRUCE CHARLES GOUDEAU
CRD#: 867744
IA
B
STEPHENSCRD#: 3496 Celebration, FL
0
Disclosures
45
Years of Experience
View By:
State Registrations
B
Alabama 6/26/2020
B
New Jersey 5/21/2021
B
Arizona 5/2/2018
B
New Mexico 5/14/2014
B
Arkansas 5/14/2014
B
New York 7/22/2014
B
California 6/2/2023
B
North Carolina 7/30/2020
B
Colorado 3/24/2021
B
Ohio 5/28/2018
B
Florida 5/14/2014
B
Oklahoma 5/14/2014
B
Georgia 5/14/2014
B
Oregon 6/28/2022
B
Louisiana 5/14/2014
B
Rhode Island 3/18/2022
IA
Louisiana 5/14/2014
B
South Carolina 7/22/2021
B
Michigan 5/17/2016
B
Tennessee 5/14/2014
B
Minnesota 3/18/2022
B
Texas 5/14/2014
B
Mississippi 5/14/2014
IA
Texas 5/19/2014
B
Missouri 10/11/2022
B
Virginia 5/14/2014
B
Nevada 8/24/2022
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2010 - 05/20/2014 | SHREVEPORT, LA | |
B | 06/01/2009 - 05/20/2014 | SHREVEPORT, LA | |
B | 02/21/2006 - 06/01/2009 | SHREVEPORT, LA | |
B | 09/18/1991 - 02/21/2006 | BALTIMORE, MD | |
B | 05/25/1988 - 09/23/1991 | PURCHASE, NY | |
B | 02/15/1988 - 06/28/1988 | ||
B | 06/21/1979 - 02/15/1988 |
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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.