Individual Firm
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HERBERT WILMER FINDEISEN III
CRD#: 2668052
IA
B
OSAIC WEALTH, INC.CRD#: 23131 MOUNT AIRY, MD
0
Disclosures
28
Years of Experience
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State Registrations
B
Florida 9/1/2023
B
Pennsylvania 9/1/2023
IA
Florida 9/1/2023
IA
Pennsylvania 9/1/2023
B
Maryland 9/1/2023
B
South Carolina 9/1/2023
IA
Maryland 9/1/2023
IA
South Carolina 9/1/2023
B
New Jersey 9/1/2023
B
Virginia 9/1/2023
IA
New Jersey 9/1/2023
IA
Virginia 9/1/2023
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/15/2011 - 09/01/2023 | MOUNT AIRY, MD | |
B | 11/11/2011 - 09/01/2023 | MOUNT AIRY, MD | |
IA | 11/26/2007 - 11/16/2011 | MT. AIRY, MD | |
B | 11/26/2007 - 11/16/2011 | MT. AIRY, MD | |
IA | 04/17/2002 - 11/27/2007 | FALLSTON, MD | |
B | 04/15/2002 - 11/27/2007 | FALLSTON, MD | |
B | 04/13/1999 - 05/09/2002 | NEW YORK, NY | |
B | 04/13/1999 - 01/05/2000 | NEW YORK, NY | |
B | 01/07/1997 - 01/27/1999 | NAPA, CA | |
B | 11/01/1995 - 08/09/1996 | CHARLOTTE, NC |
NEW YORK, NY
04/13/1999 - 01/05/2000
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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.