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DAVID SOONG PARK
CRD#: 2089271
IA
B
OSAIC WEALTH, INC.CRD#: 23131 26650 THE OLD ROAD
SUITE 213
VALENCIA, CA 91381
SUITE 213
VALENCIA, CA 91381
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12/9/2016
Customer Dispute
Denied
1/24/2016
Customer Dispute
Denied
8/14/2002
Customer Dispute
Settled
5/30/2002
Customer Dispute
Settled
State Registrations
B
Arizona 11/3/2023
B
Nevada 11/3/2023
B
California 11/3/2023
B
Oregon 11/3/2023
IA
California 11/3/2023
B
Pennsylvania 11/3/2023
B
Colorado 11/3/2023
B
Texas 11/3/2023
B
Georgia 11/3/2023
B
Utah 11/3/2023
B
Hawaii 11/3/2023
B
Washington 11/3/2023
B
Michigan 11/3/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/3/2023
B
Registered with this firm since 11/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/12/2016 - 11/03/2023 | VALENCIA, CA | |
B | 02/16/2016 - 11/03/2023 | VALENCIA, CA | |
IA | 11/10/2009 - 02/23/2016 | ENCINO, CA | |
B | 11/10/2009 - 02/23/2016 | ENCINO, CA | |
IA | 06/17/2003 - 11/09/2009 | SHERMAN OAKS, CA | |
B | 08/31/2004 - 11/09/2009 | SHERMAN OAKS, CA | |
IA | 04/23/2002 - 09/01/2004 | SHERMAN OAKS, CA | |
B | 04/23/2002 - 09/01/2004 | SAN DIEGO, CA | |
IA | 02/14/2001 - 04/30/2002 | LOS ANGELES, CA | |
B | 05/01/2000 - 04/30/2002 | FORT MILL, SC | |
B | 01/05/1998 - 05/02/2000 | ST. CLOUD, MN | |
B | 01/31/1996 - 12/31/1997 | LINCOLN, NE | |
B | 10/11/1994 - 01/31/1996 | PORTLAND, OR | |
B | 11/01/1993 - 10/12/1994 | SAN DIEGO, CA | |
B | 07/15/1991 - 10/21/1993 | 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.