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CARL JAMES YEE
CRD#: 2178786
IA
B
OSAIC WEALTH, INC.CRD#: 23131 1100 ALAKEA STREET
23RD FLOOR
HONOLULU, HI 96813
23RD FLOOR
HONOLULU, HI 96813
0
Disclosures
33
Years of Experience
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State Registrations
B
California 11/2/2018
IA
Hawaii 11/2/2018
B
Hawaii 11/2/2018
SRO Registrations
B
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IA
Registered with this firm since 11/2/2018
B
Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/21/2017 - 11/02/2018 | HONOLULU, HI | |
B | 05/13/2016 - 11/02/2018 | HONOLULU, HI | |
B | 09/04/2009 - 05/13/2016 | HONOLULU, HI | |
B | 10/09/1991 - 09/04/2009 | 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.