Individual Firm
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JAMES THURMAN KAHN
CRD#: 2619769
IA
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OSAIC WEALTH, INC.CRD#: 23131 Bronx, NY
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Disclosures
29
Years of Experience
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State Registrations
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California 10/16/2020
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New York 10/16/2020
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California 10/19/2020
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New York 4/26/2021
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Florida 10/16/2020
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Pennsylvania 10/16/2020
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New Jersey 10/16/2020
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Pennsylvania 10/19/2020
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New Jersey 10/19/2020
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/27/2009 - 10/23/2020 | NEW YORK, NY | |
B | 04/29/2008 - 10/23/2020 | NEW YORK, NY | |
B | 03/07/2003 - 05/01/2008 | NEW YORK, NY | |
B | 09/04/2002 - 02/12/2003 | ISELIN, NJ | |
B | 11/18/1996 - 09/11/2002 | WEEHAWKEN, NJ | |
B | 06/19/1995 - 10/07/1996 | SPRINGFIELD, MA | |
B | 06/19/1995 - 10/07/1996 | 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.