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DEAN JOHN PROZZOLY
CRD#: 2495753
IA
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OSAIC INSTITUTIONS, INC.CRD#: 35371 501 Grant Street, Suite 250
Pittsburgh, PA 15219
Pittsburgh, PA 15219
0
Disclosures
30
Years of Experience
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State Registrations
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Delaware 3/9/2017
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Pennsylvania 12/5/2016
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Maryland 3/9/2017
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Pennsylvania 12/5/2016
B
Ohio 3/9/2017
B
West Virginia 3/9/2017
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 12/5/2016
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Registered with this firm since 12/5/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/12/2013 - 12/02/2016 | Pittsburgh, PA | |
B | 04/12/2013 - 12/02/2016 | Pittsburgh, PA | |
IA | 11/03/2006 - 04/22/2013 | PITTSBURGH, PA | |
B | 10/31/2006 - 04/22/2013 | PITTSBURGH, PA | |
B | 07/05/2005 - 11/03/2006 | MONROEVILLE, PA | |
B | 11/25/1994 - 07/07/2005 | EL SEGUNDO, CA |
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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.