Individual Firm
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WILLIAM KEEL III
BEN KEEL III, WILLIAM BEN KEEL III
CRD#: 2661449
IA
B
OSAIC WEALTH, INC.CRD#: 23131 800 AVENUE C
KATY, TX 77493
KATY, TX 77493
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12/28/2023
Judgment / Lien
State Registrations
B
Alaska 8/17/2020
B
Missouri 2/12/2018
B
Arizona 4/18/2008
B
Ohio 3/28/2017
B
Colorado 4/18/2008
B
Tennessee 5/3/2023
IA
Colorado 4/18/2008
B
Texas 4/18/2008
B
Florida 8/18/2016
IA
Texas 4/18/2008
B
Georgia 4/20/2018
B
Washington 1/31/2019
B
Kansas 3/26/2013
B
Wisconsin 4/29/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/18/2008
B
Registered with this firm since 4/18/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/16/2002 - 03/26/2008 | DENVER, CO | |
B | 03/14/2001 - 03/26/2008 | DENVER, CO | |
B | 10/15/1996 - 03/06/2001 | SCOTTSDALE, AZ | |
B | 12/07/1995 - 09/05/1996 | MINNEAPOLIS, MN | |
B | 12/07/1995 - 09/05/1996 | MINNEAPOLIS, MN |
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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.
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