Individual Firm
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MICHAEL JOHN ARENA
CRD#: 1929230
IA
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OSAIC WEALTH, INC.CRD#: 23131 5110 MAIN STREET
SUITE 214
WILLIAMSVILLE, NY 14221
SUITE 214
WILLIAMSVILLE, NY 14221
View By:
4/1/2011
Customer Dispute
Settled
State Registrations
B
Arizona 9/1/2023
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New Jersey 9/1/2023
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Arkansas 9/1/2023
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New York 9/1/2023
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California 9/1/2023
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New York 9/1/2023
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California 9/1/2023
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North Carolina 9/1/2023
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District of Columbia 9/1/2023
B
Ohio 9/1/2023
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Florida 9/1/2023
B
Oregon 9/1/2023
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Florida 6/4/2024
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Pennsylvania 9/1/2023
B
Hawaii 9/1/2023
B
South Carolina 9/1/2023
B
Illinois 9/1/2023
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Tennessee 9/1/2023
B
Kentucky 9/1/2023
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Utah 9/1/2023
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Louisiana 9/1/2023
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Virginia 9/1/2023
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Maryland 9/1/2023
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Washington 9/1/2023
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Massachusetts 9/1/2023
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Wisconsin 9/1/2023
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Michigan 9/1/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 9/1/2023
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Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/09/2014 - 09/01/2023 | WILLIAMSVILLE, NY | |
B | 10/31/2005 - 09/01/2023 | WILLIAMSVILLE, NY | |
B | 03/31/2005 - 10/31/2005 | PHOENIX, AZ | |
B | 05/14/1996 - 04/05/2005 | FORT MILL, SC | |
B | 03/06/1996 - 05/17/1996 | BALTIMORE, MD | |
B | 11/23/1993 - 03/07/1996 | NEW YORK, NY | |
B | 04/19/1989 - 11/23/1993 | MINNEAPOLIS, MN | |
B | 04/19/1989 - 11/23/1993 | 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.