Individual Firm
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SERGIO KINDLER
CRD#: 1690597
IA
B
OSAIC WEALTH, INC.CRD#: 23131 380 N. BROADWAY
SUITE 206
JERICHO, NY 11753
SUITE 206
JERICHO, NY 11753
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7/16/2007
Customer Dispute
Closed-No Action
2/5/2004
Customer Dispute
Settled
10/24/2002
Customer Dispute
Settled
State Registrations
B
California 2/28/2022
B
Massachusetts 3/3/2022
B
Colorado 2/28/2022
B
Nevada 2/28/2022
B
Connecticut 2/28/2022
B
New Hampshire 2/28/2022
B
Delaware 2/28/2022
B
New Jersey 2/28/2022
B
District of Columbia 2/28/2022
B
New York 2/24/2022
B
Florida 2/28/2022
IA
New York 2/24/2022
IA
Florida 5/3/2024
B
North Carolina 3/29/2022
B
Georgia 2/28/2022
B
Pennsylvania 2/28/2022
B
Idaho 9/5/2023
B
Rhode Island 2/28/2022
B
Illinois 2/28/2022
B
South Carolina 2/28/2022
B
Indiana 2/28/2022
B
Texas 2/28/2022
B
Iowa 2/28/2022
B
Virginia 2/28/2022
B
Maryland 2/28/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 2/24/2022
B
Registered with this firm since 2/24/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/03/2021 - 03/23/2022 | MELVILLE, NY | |
B | 02/14/2018 - 03/23/2022 | MELVILLE, NY | |
B | 07/20/2005 - 02/14/2018 | MELVILLE, NY | |
B | 06/09/1997 - 07/20/2005 | EAST MEADOW, NY | |
B | 04/14/1997 - 06/17/1997 | HOUSTON, TX | |
B | 04/25/1994 - 04/10/1997 | HICKSVILLE, NY | |
B | 08/28/1989 - 04/29/1994 | ||
B | 10/13/1988 - 03/02/1989 | APPLETON, WI | |
B | 11/17/1987 - 12/22/1987 | ||
B | 06/23/1987 - 12/08/1987 | LEVITTOWN, NY |
For additional information about investment advisers or broker-dealers, please visit
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.