Individual Firm
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ANTHONY KENT TEE
ANTHONY KENT LEE, TONY TEE
CRD#: 1690965
IA
B
OSAIC WEALTH, INC.CRD#: 23131 PUNTA GORDA, FL
View By:
12/7/2011
Customer Dispute
Denied
State Registrations
B
Alabama 9/1/2023
B
Maine 9/1/2023
B
Arizona 9/1/2023
B
Massachusetts 9/1/2023
B
California 9/1/2023
B
Michigan 9/1/2023
B
Colorado 9/1/2023
B
Minnesota 2/28/2025
B
Connecticut 9/1/2023
B
Missouri 9/1/2023
B
Delaware 9/1/2023
B
Nevada 9/26/2023
B
Florida 9/1/2023
B
New Hampshire 9/1/2023
IA
Florida 9/1/2023
B
New York 9/1/2023
B
Georgia 9/1/2023
B
North Carolina 9/1/2023
B
Illinois 9/1/2023
B
Ohio 9/1/2023
IA
Illinois 9/1/2023
B
Pennsylvania 9/1/2023
B
Indiana 9/1/2023
B
South Carolina 9/1/2023
B
Iowa 9/1/2023
IA
South Carolina 9/1/2023
IA
Iowa 9/1/2023
B
Vermont 9/1/2023
B
Kansas 9/1/2023
B
Virginia 9/1/2023
B
Kentucky 9/1/2023
B
Wisconsin 9/1/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/29/2012 - 09/01/2023 | PUNTA GORDA, FL | |
B | 08/24/2012 - 09/01/2023 | PUNTA GORDA, FL | |
IA | 11/23/2004 - 08/28/2012 | OQUAWKA, IL | |
B | 11/23/2004 - 08/28/2012 | OQUAWKA, IL | |
IA | 05/20/1999 - 12/01/2004 | MONMOUTH, IL | |
B | 01/04/1999 - 12/01/2004 | ST. PETERSBURG, FL | |
B | 05/01/1998 - 01/04/1999 | ST. PETERSBURG, FL | |
B | 06/23/1997 - 05/22/1998 | CHICAGO, IL | |
B | 04/06/1995 - 06/25/1997 | ATLANTA, GA | |
B | 03/12/1993 - 11/28/1994 | GLEN ALLEN, VA | |
B | 11/15/1991 - 03/26/1993 | BOSTON, MA | |
B | 11/15/1991 - 03/26/1993 | BOSTON, MA | |
B | 06/24/1987 - 10/21/1987 |
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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.
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