Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CHARLES RAY PARKS
CHARLIE PARKS
CRD#: 1060906
IA
B
OSAIC WEALTH, INC.CRD#: 23131 6160 CENTRAL AVENUE
SUITE 200
ST PETERSBURG, FL 33707
SUITE 200
ST PETERSBURG, FL 33707
View By:
3/31/2009
Customer Dispute
Settled
11/10/2004
Customer Dispute
Closed-No Action
3/22/2004
Customer Dispute
Settled
State Registrations
B
Alabama 3/12/2024
B
Missouri 1/19/2021
B
Arizona 1/7/2021
B
New York 1/7/2021
B
California 12/14/2020
B
North Carolina 1/11/2022
IA
California 12/16/2020
IA
North Carolina 6/22/2023
B
Florida 12/14/2020
B
Ohio 12/14/2020
IA
Florida 12/15/2020
IA
Ohio 12/16/2020
B
Georgia 12/16/2020
B
Pennsylvania 1/7/2021
IA
Georgia 12/16/2020
B
Texas 6/3/2021
B
Kentucky 6/3/2021
IA
Texas 6/10/2024
B
Louisiana 4/22/2024
B
Utah 6/27/2023
B
Massachusetts 3/18/2021
B
West Virginia 2/11/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/15/2020
B
Registered with this firm since 12/14/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/14/2003 - 12/15/2020 | ST PETERSBURG, FL | |
B | 10/06/1999 - 12/15/2020 | ST PETERSBURG, FL | |
B | 01/02/1998 - 10/05/1999 | SYRACUSE, NY | |
B | 05/14/1996 - 01/02/1998 | NEW YORK, NY | |
B | 07/26/1991 - 05/03/1996 | BOSTON, MA | |
B | 07/26/1991 - 05/03/1996 | BOSTON, MA | |
B | 09/06/1990 - 05/29/1991 | NEWARK, DE | |
B | 07/26/1990 - 08/24/1990 | FORT WAYNE, IN | |
B | 12/08/1986 - 06/19/1990 | NEW YORK, NY | |
B | 08/09/1983 - 07/08/1986 | ||
B | 10/19/1982 - 02/28/1983 |
For additional information about investment advisers or broker-dealers, please visit
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.