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ROBERT B THOMPSON
BENJA THOMPSON
CRD#: 2389239
IA
B
OSAIC WEALTH, INC.CRD#: 23131 PENSACOLA, FL
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Disclosures
31
Years of Experience
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State Registrations
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District of Columbia 11/1/2024
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Louisiana 11/1/2024
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Florida 9/1/2023
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Maryland 9/1/2023
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Florida 9/1/2023
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Tennessee 9/1/2023
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Georgia 11/1/2024
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Virginia 9/1/2023
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/31/2005 - 09/01/2023 | PENSACOLA, FL | |
B | 10/31/2005 - 09/01/2023 | PENSACOLA, FL | |
IA | 08/27/2002 - 10/31/2005 | PENSACOLA, FL | |
B | 08/01/2002 - 10/31/2005 | PHOENIX, AZ | |
IA | 11/23/1994 - 07/15/2002 | PENSACOLA, FL | |
B | 11/17/1994 - 07/15/2002 | NEW YORK, NY | |
B | 09/08/1993 - 09/15/1994 | NEW YORK, NY |
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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.
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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.