Individual Firm
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PAUL MICHAEL SORACI
CRD#: 1139164
IA
B
OSAIC WEALTH, INC.CRD#: 23131 125 S. HOWES STREET
6B
FORT COLLINS, CO 80521
6B
FORT COLLINS, CO 80521
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6/1/1973
Criminal
Final Disposition
State Registrations
B
Arizona 8/10/2016
B
Montana 4/4/2013
B
California 5/24/2018
B
New Mexico 2/21/2024
B
Colorado 3/15/1994
B
North Carolina 1/15/2015
IA
Colorado 1/1/1999
B
South Dakota 3/30/2004
B
Florida 5/16/2011
IA
South Dakota 1/9/2009
B
Georgia 8/8/2022
B
Texas 3/16/2015
B
Idaho 1/13/2022
IA
Texas 3/20/2015
B
Illinois 8/13/2008
B
Washington 3/18/2024
IA
Illinois 8/15/2008
B
Wisconsin 6/12/2015
B
Maryland 5/20/2019
B
Wyoming 4/1/1998
B
Missouri 4/28/2011
SRO Registrations
B
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IA
Registered with this firm since 1/1/1999
B
Registered with this firm since 3/14/1994
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/1999 - 12/03/2008 | FORT COLLINS, CO | |
B | 07/17/1989 - 03/04/1994 | EL SEGUNDO, CA | |
B | 07/22/1983 - 08/03/1989 | OVERLAND PARK, KS | |
B | 07/02/1983 - 11/19/1984 |
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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.
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