Individual Firm
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CURTIS RAY LEVALLEY
CURT RAY LEVALLEY
CRD#: 1351160
IA
B
OSAIC WEALTH, INC.CRD#: 23131 5700 OLD CHENEY ROAD
SUITE 3
LINCOLN, NE 68516
SUITE 3
LINCOLN, NE 68516
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7/6/1995
Customer Dispute
Settled
11/18/1993
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 11/2/2018
B
Missouri 11/14/2018
B
Arkansas 1/10/2019
B
Nebraska 11/2/2018
B
California 11/2/2018
IA
Nebraska 11/2/2018
B
Colorado 3/7/2019
B
Nevada 11/2/2018
B
Florida 11/2/2018
B
North Carolina 9/27/2023
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Florida 9/25/2024
B
Oregon 12/12/2024
B
Idaho 5/11/2022
B
Texas 11/2/2018
B
Illinois 11/2/2018
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Texas 2/26/2019
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Illinois 12/13/2018
B
Virginia 3/5/2022
B
Kansas 11/2/2018
B
Washington 11/2/2018
B
Michigan 11/2/2018
B
Wisconsin 4/25/2023
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
B
Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 11/02/2018 | LINCOLN, NE | |
B | 05/13/2016 - 11/02/2018 | LINCOLN, NE | |
IA | 06/04/2013 - 05/13/2016 | LINCOLN, NE | |
B | 05/21/2013 - 05/13/2016 | LINCOLN, NE | |
IA | 01/03/2011 - 05/07/2013 | LINCOLN, NE | |
B | 01/03/2011 - 05/07/2013 | LINCOLN, NE | |
IA | 10/15/2007 - 01/03/2011 | LINCOLN, NE | |
B | 11/08/2007 - 01/03/2011 | LINCOLN, NE | |
B | 06/02/1998 - 04/02/2001 | LINCOLN, NE | |
B | 12/01/1995 - 05/07/1998 | LINCOLN, NE | |
B | 07/19/1991 - 10/04/1994 | CHICAGO, IL | |
B | 01/21/1988 - 10/08/1991 | ||
B | 08/15/1985 - 10/08/1991 | SCHAUMBURG, IL | |
B | 02/14/1987 - 01/30/1988 | ||
B | 03/20/1985 - 08/15/1985 |
03/20/1985 - 08/15/1985
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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.