Individual Firm
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ROBERT JOEL BERRIN
CRD#: 1047871
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OSAIC WEALTH, INC.CRD#: 23131 6501 CONGRESS AVENUE STE 100
BOCA RATON, FL 33487
BOCA RATON, FL 33487
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3/25/2013
Customer Dispute
Settled
11/17/2010
Customer Dispute
Denied
4/27/2009
Customer Dispute
Closed-No Action
State Registrations
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California 6/14/2024
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New York 6/14/2024
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Colorado 6/14/2024
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North Carolina 6/14/2024
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Connecticut 6/14/2024
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North Dakota 6/14/2024
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Florida 6/14/2024
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Rhode Island 6/14/2024
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Florida 6/14/2024
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South Carolina 6/14/2024
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Georgia 6/14/2024
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Tennessee 6/14/2024
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Indiana 6/14/2024
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Texas 6/14/2024
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Maine 6/14/2024
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Texas 6/14/2024
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Massachusetts 6/14/2024
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Washington 4/16/2025
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New York 6/14/2024
SRO Registrations
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Registered with this firm since 6/14/2024
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Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/13/2016 - 06/14/2024 | Boca Raton, FL | |
B | 09/23/2016 - 06/14/2024 | BOCA RATON, FL | |
IA | 04/09/2007 - 10/11/2016 | BOCA RATON, FL | |
B | 08/03/2006 - 09/23/2016 | BOCA RATON, FL | |
B | 02/02/2004 - 08/11/2006 | BOCA RATON, FL | |
B | 04/07/2000 - 02/02/2004 | ELGIN, IL | |
B | 08/06/1996 - 04/05/2000 | POUGHKEEPSIE, NY | |
B | 12/22/1992 - 08/12/1996 | IRVINE, CA | |
B | 01/18/1991 - 12/16/1992 | FORT WASHINGTON, PA | |
B | 10/14/1982 - 01/28/1991 | PALM BEACH GARDENS, FL |
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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.