Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
GREGORY EDWARD PUTTICK
GREGORY E PUTTICK
CRD#: 2044826
IA
B
OSAIC WEALTH, INC.CRD#: 23131 265 SUNRISE HWY
SUITE 64
ROCKVILLE CENTRE, NY 11570
SUITE 64
ROCKVILLE CENTRE, NY 11570
View By:
8/9/2016
Customer Dispute
Settled
State Registrations
B
Arizona 11/2/2022
B
New York 5/3/2022
B
California 5/3/2022
IA
New York 5/3/2022
B
Connecticut 6/7/2022
B
North Carolina 5/4/2022
B
Florida 5/3/2022
B
Pennsylvania 5/3/2022
B
Georgia 12/19/2022
B
South Carolina 5/3/2022
B
Illinois 7/9/2024
B
Virginia 5/12/2022
B
Maryland 5/12/2022
B
Washington 12/8/2022
B
New Jersey 5/3/2022
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 5/3/2022
B
Registered with this firm since 5/3/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/07/2014 - 05/03/2022 | HOLBROOK, NY | |
B | 12/03/2013 - 05/03/2022 | ROCKVILLE CENTRE, NY | |
B | 11/03/2008 - 12/06/2013 | ROCKVILLE CENTRE, NY | |
B | 12/10/2002 - 11/10/2008 | ROCKVILLE CENTRE, NY | |
IA | 12/17/2002 - 12/31/2004 | WHITE PLAINS, NY | |
IA | 07/17/2002 - 12/02/2002 | JERICHO, NY | |
B | 02/22/1999 - 12/02/2002 | POUGHKEEPSIE, NY | |
B | 12/07/1995 - 03/05/1999 | SYOSSET, NY | |
B | 11/10/1993 - 12/11/1995 | SMITHTOWN, NY | |
B | 07/31/1991 - 11/02/1993 | LAVISTA, NE | |
B | 06/22/1990 - 06/24/1991 | PURCHASE, NY |
ROCKVILLE CENTRE, NY
12/03/2013 - 05/03/2022
WHITE PLAINS, NY
12/17/2002 - 12/31/2004
JERICHO, NY
07/17/2002 - 12/02/2002
For additional information about investment advisers or broker-dealers, please visit
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.