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STEVEN THOMAS DUM
CRD#: 1280759
IA
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OSAIC WEALTH, INC.CRD#: 23131 1050 E. 86TH STREET
SUITE 55-C
INDIANAPOLIS, IN 46240
SUITE 55-C
INDIANAPOLIS, IN 46240
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10/18/2010
Customer Dispute
Settled
State Registrations
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Illinois 11/2/2018
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Indiana 11/2/2018
B
Indiana 11/2/2018
B
Kentucky 11/2/2018
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 11/2/2018
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Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 11/02/2018 | INDIANAPOLIS, IN | |
B | 05/13/2016 - 11/02/2018 | INDIANAPOLIS, IN | |
IA | 01/15/1999 - 05/13/2016 | INDIANAPOLIS, IN | |
B | 12/10/1991 - 05/13/2016 | INDIANAPOLIS, IN | |
IA | 09/23/2003 - 12/02/2014 | INDIANAPOLIS, IN | |
B | 12/01/1988 - 11/30/1990 | EL SEGUNDO, CA | |
B | 02/02/1987 - 09/09/1987 | ||
B | 09/05/1985 - 02/18/1987 | ||
B | 07/18/1984 - 09/12/1985 |
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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.
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.