Individual Firm
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DOUGLAS GENE MCCOWEN
DOUG G. MCCOWEN
CRD#: 1066218
IA
B
OSAIC WEALTH, INC.CRD#: 23131 TRABUCO CANYON, CA
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1/24/1997
Customer Dispute
Settled
State Registrations
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California 8/30/2024
B
Oregon 9/5/2024
IA
California 8/30/2024
B
Tennessee 9/4/2024
B
Idaho 8/30/2024
B
Washington 9/3/2024
SRO Registrations
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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
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/15/2022 - 09/03/2024 | TRABUCO CANYON, CA | |
B | 07/15/2022 - 09/03/2024 | TRABUCO CANYON, CA | |
IA | 05/25/2007 - 07/15/2022 | IRVINE, CA | |
B | 05/25/2007 - 07/15/2022 | IRVINE, CA | |
IA | 02/11/2002 - 06/14/2007 | TUSTIN, CA | |
IA | 04/29/2003 - 05/31/2007 | TUSTIN, CA | |
B | 01/30/2002 - 05/31/2007 | TUSTIN, CA | |
B | 12/09/1982 - 02/06/2002 | NEWARK, NJ |
TUSTIN, CA
02/11/2002 - 06/14/2007
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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.