Individual Firm
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THOMAS ARTHUR ENDERSBE
TOM ENDERSBE
CRD#: 1407028
IA
B
OSAIC WEALTH, INC.CRD#: 23131 10900 Wayzata Boulevard
Suite 850
Minnetonka, MN 55305
Suite 850
Minnetonka, MN 55305
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2/28/2023
Customer Dispute
Denied
6/18/2003
Customer Dispute
Settled
9/30/2002
Customer Dispute
Denied
State Registrations
B
Arizona 9/1/2023
B
Minnesota 9/1/2023
B
California 9/1/2023
IA
Minnesota 9/1/2023
B
Colorado 9/1/2023
B
Nebraska 9/1/2023
B
Illinois 9/1/2023
B
New Jersey 9/1/2023
B
Kansas 9/1/2023
B
Wisconsin 9/1/2023
B
Michigan 9/1/2023
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 9/1/2023
B
Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/21/2010 - 09/01/2023 | ST LOUIS PARK, MN | |
B | 11/12/2009 - 09/01/2023 | ST LOUIS PARK, MN | |
B | 08/10/1989 - 11/05/2009 | EDINA, MN | |
B | 08/10/1989 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 09/24/1985 - 02/25/1989 | ||
B | 09/24/1985 - 12/24/1986 |
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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.