Individual Firm
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JAMES RANSOM POTOKA
CRD#: 1023936
IA
B
OSAIC WEALTH, INC.CRD#: 23131 800 TOWNSHIP LINE ROAD
SUITE 125
YARDLEY, PA 19067
SUITE 125
YARDLEY, PA 19067
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7/21/2015
Customer Dispute
Denied
9/7/2004
Customer Dispute
Denied
11/15/2002
Customer Dispute
Denied
State Registrations
B
Alabama 11/3/2023
B
New York 11/3/2023
B
Connecticut 11/3/2023
B
North Carolina 11/3/2023
B
Delaware 11/3/2023
B
Ohio 11/3/2023
IA
Delaware 11/3/2023
B
Pennsylvania 11/3/2023
B
Florida 11/3/2023
IA
Pennsylvania 11/3/2023
IA
Florida 11/3/2023
B
Rhode Island 11/3/2023
B
Georgia 11/3/2023
B
South Carolina 11/3/2023
B
Maine 11/3/2023
B
Tennessee 11/3/2023
B
Massachusetts 11/3/2023
B
Texas 11/3/2023
B
Michigan 11/3/2023
B
Virginia 11/3/2023
B
New Jersey 11/3/2023
B
West Virginia 11/3/2023
IA
New Jersey 11/3/2023
B
Wisconsin 11/3/2023
SRO Registrations
B
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IA
Registered with this firm since 11/3/2023
B
Registered with this firm since 11/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/05/2003 - 11/03/2023 | LANGHORNE, PA | |
B | 05/19/1998 - 11/03/2023 | LANGHORNE, PA | |
B | 02/09/1982 - 05/20/1998 | OVERLAND PARK, KS |
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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.