Individual Firm
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RICHARD MICHAEL GEORGE
RICK GEORGE
CRD#: 1708938
IA
B
OSAIC WEALTH, INC.CRD#: 23131 LIVERPOOL, NY
0
Disclosures
37
Years of Experience
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State Registrations
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Arizona 6/14/2024
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New York 6/14/2024
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California 6/14/2024
IA
New York 6/14/2024
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Florida 6/14/2024
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North Carolina 6/14/2024
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Georgia 6/14/2024
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Pennsylvania 6/14/2024
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Illinois 6/14/2024
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South Carolina 6/14/2024
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Massachusetts 6/14/2024
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Tennessee 6/14/2024
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Michigan 6/14/2024
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Virginia 6/14/2024
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New Jersey 6/14/2024
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Washington 6/14/2024
SRO Registrations
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2021 - 06/14/2024 | LIVERPOOL, NY | |
B | 10/20/2017 - 06/14/2024 | LIVERPOOL, NY | |
B | 08/07/2003 - 10/27/2017 | LIVERPOOL, NY | |
B | 04/03/1998 - 08/21/2003 | EL SEGUNDO, CA | |
B | 09/02/1994 - 04/03/1998 | CEDAR RAPIDS, IA | |
B | 09/30/1987 - 09/21/1994 | NEW YORK, NY |
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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.