Individual Firm
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PETER JOSEPH CAROLLO JR
PETER JOSEPH CAROLLO
CRD#: 1270383
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OSAIC WEALTH, INC.CRD#: 23131 BASKING RIDGE, NJ
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1/30/1992
Customer Dispute
Award / Judgment
State Registrations
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Colorado 1/24/2025
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New Jersey 1/24/2025
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Delaware 1/24/2025
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New Jersey 1/24/2025
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Florida 1/24/2025
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New York 1/24/2025
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Hawaii 1/24/2025
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Pennsylvania 1/24/2025
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
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/17/2010 - 01/24/2025 | BASKING RIDGE, NJ | |
B | 03/27/2003 - 01/24/2025 | BASKING RIDGE, NJ | |
IA | 03/28/2006 - 11/04/2013 | MORRIS PLAINS, NJ | |
B | 02/08/2002 - 04/10/2003 | BOSTON, MA | |
B | 01/02/1998 - 01/30/2002 | SYRACUSE, NY | |
B | 08/18/1997 - 01/02/1998 | NEW YORK, NY | |
B | 07/03/1996 - 08/01/1997 | WELLESLEY HILLS, MA | |
B | 02/09/1993 - 07/12/1996 | FORT WAYNE, IN | |
B | 01/10/1992 - 07/12/1996 | FORT WAYNE, IN | |
B | 08/21/1986 - 01/08/1992 | ||
B | 05/30/1986 - 08/15/1986 |
MORRIS PLAINS, NJ
03/28/2006 - 11/04/2013
05/30/1986 - 08/15/1986
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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.