Individual Firm
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DALE BARTON SAILORS
CRD#: 1459820
IA
B
OSAIC WEALTH, INC.CRD#: 23131 LARAMIE, WY
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11/19/2015
Customer Dispute
Denied
11/11/2003
Customer Dispute
Denied
State Registrations
B
Arizona 11/17/2023
B
Montana 9/12/2024
B
California 11/17/2023
B
Oregon 10/24/2024
B
Colorado 11/17/2023
B
Wyoming 11/17/2023
B
Idaho 5/30/2024
IA
Wyoming 11/20/2023
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
IA
Registered with this firm since 11/20/2023
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/17/2023 - 11/17/2023 | LARAMIE, WY | |
IA | 07/05/2017 - 10/13/2023 | LARAMIE, WY | |
B | 09/05/2003 - 10/13/2023 | LARAMIE, WY | |
IA | 10/11/2005 - 12/31/2008 | LARAMIE, WY | |
B | 04/10/2000 - 08/26/2003 | MINNEAPOLIS, MN | |
B | 02/19/1986 - 08/26/2003 | MINNEAPOLIS, MN |
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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.