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STEVEN BARRY TUTTLE
CRD#: 2594860
IA
B
OSAIC WEALTH, INC.CRD#: 23131 NORTH ROYALTON, OH
0
Disclosures
30
Years of Experience
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State Registrations
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California 8/24/2019
B
North Carolina 11/2/2018
B
Connecticut 8/24/2019
B
Ohio 11/2/2018
B
Florida 11/2/2018
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Ohio 11/2/2018
B
Kansas 4/7/2021
B
South Carolina 8/24/2019
B
Mississippi 11/2/2018
B
Texas 11/2/2018
SRO Registrations
B
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 11/02/2018 | NORTH ROYALTON, OH | |
B | 05/13/2016 - 11/02/2018 | NORTH ROYALTON, OH | |
IA | 05/20/2005 - 05/13/2016 | NORTH ROYALTON, OH | |
B | 05/18/2005 - 05/13/2016 | NORTH ROYALTON, OH | |
B | 03/23/1995 - 06/06/2005 | EL SEGUNDO, CA | |
IA | 06/21/2002 - 01/03/2005 | CLEVELAND, OH | |
IA | 09/04/2001 - 12/31/2003 | INDEPENDENCE, OH |
INDEPENDENCE, OH
09/04/2001 - 12/31/2003
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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.