Individual Firm
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SCOTT ARDEL LITTEN
SCOTT ARDELL LITTEN
CRD#: 2044219
IA
B
OSAIC WEALTH, INC.CRD#: 23131 YORK, PA
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2/15/2007
Customer Dispute
Denied
State Registrations
B
Delaware 1/26/2021
B
New York 11/2/2018
B
Florida 11/2/2018
B
Pennsylvania 11/2/2018
B
Georgia 5/19/2020
IA
Pennsylvania 11/2/2018
B
Illinois 11/2/2018
B
South Carolina 1/7/2021
B
Maryland 11/2/2018
B
Virginia 11/2/2018
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 11/02/2018 | YORK, PA | |
B | 05/13/2016 - 11/02/2018 | YORK, PA | |
IA | 01/30/2008 - 05/13/2016 | YORK, PA | |
B | 08/16/2005 - 05/13/2016 | YORK, PA | |
B | 04/02/1990 - 07/19/2005 | NEWARK, NJ | |
B | 04/02/1990 - 12/10/1993 | NEWARK, NJ |
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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.