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Current Employers
International Assets Investment Management, Llc

111 North Orange Avenue Suite 1000, Orlando, FL 32801 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-12-03
  • TX RA
    APPROVED
    Since 2019-12-03

Branch Locations

111 North Orange Avenue Suite 1000, Orlando, FL 32801 • United States

Pasadena, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Swbc Investment Services Llc San Antonio TX 09/2014 02/2019
Swbc Investment Company San Antonio TX 09/2014 02/2019
Lpl Financial, Llc Pasadena TX 01/2019 11/2019
International Assets Advisory, Llc Pasadena TX 12/2019 Present
International Assets Investment Management, Llc Pasadena TX 12/2019 Present
Previous Registrations
  • 2019-01-31 → 2019-12-13
    Pasadena, TX
    Cypress, TX
    Pasadena, TX
  • 2014-09-04 → 2019-02-04
    San Antonio, TX
    Pasadena, TX
  • 2009-10-06 → 2014-06-26
    Houston, TX
    Webster, TX
  • 2008-03-05 → 2009-09-18
    Ameriprise Advisor Services, Inc.
    Friendswood, TX
  • 2007-08-06 → 2008-02-05
    Morgan Keegan & Company, Llc
    Houston, TX
Other Businesses

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC 111 N. ORANGE AVENUE, SUITE 1000, ORLANDO, FL 32801 - RIA AFFILIATE OF INTERNATIONAL ASSETS ADVISORS - ADVISOR SINCE 12/2019 - APPROX 40 HRS/MO - FEE BASED COMPENSATION

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-03
  • S66 Uniform Combined State Law Examination
    2007-08-03

View on SEC IAPD

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