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KIRK S BARTH
CRD#: 2016941
IA
B
OSAIC WEALTH, INC.CRD#: 23131 1163 S. BERETANIA STREET
HONOLULU, HI 96814
HONOLULU, HI 96814
View By:
6/27/2013
Customer Dispute
Settled
State Registrations
B
Alabama 5/29/2024
B
Nevada 5/29/2024
B
California 2/8/2019
B
Oregon 2/8/2019
B
Colorado 5/29/2024
B
Texas 12/23/2021
B
Hawaii 2/15/2019
IA
Texas 7/27/2023
IA
Hawaii 3/1/2019
B
Virginia 2/8/2019
B
Idaho 2/8/2019
B
Washington 2/8/2019
B
Nebraska 5/2/2019
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
Registered with this firm since 3/1/2019
B
Registered with this firm since 2/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/25/2017 - 02/13/2019 | HONOLULU, HI | |
B | 03/25/2017 - 02/13/2019 | HONOLULU, HI | |
IA | 02/08/2019 - 02/08/2019 | SCOTTSDALE, AZ | |
IA | 07/14/2014 - 03/25/2017 | HONOLULU, HI | |
B | 05/28/2014 - 03/25/2017 | HONOLULU, HI | |
IA | 05/28/2014 - 05/29/2014 | HONOLULU, HI | |
IA | 03/19/2010 - 05/29/2014 | HONOLULU, HI | |
B | 03/12/2010 - 05/29/2014 | HONOLULU, HI | |
IA | 02/06/2009 - 03/16/2010 | HONOLULU, HI | |
B | 01/29/2009 - 03/16/2010 | HONOLULU, HI | |
IA | 10/30/2002 - 02/04/2009 | HONOLULU, HI | |
B | 04/03/1990 - 02/04/2009 | HONOLULU, HI |
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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.