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Christopher Lee Vazquez
CRD#: 2682454
IA
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OSAIC WEALTH, INC.CRD#: 23131 1615 NORTHERN BLVD
SUITE 304
MANHASSET, NY 11030
SUITE 304
MANHASSET, NY 11030
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1/6/2017
Customer Dispute
Award / Judgment
State Registrations
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Connecticut 2/23/2024
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New York 1/19/2024
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Florida 1/19/2024
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New York 1/19/2024
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Georgia 1/19/2024
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Pennsylvania 1/19/2024
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Georgia 1/19/2024
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Pennsylvania 1/19/2024
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New Jersey 1/19/2024
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Virginia 1/19/2024
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New Jersey 1/19/2024
SRO Registrations
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Registered with this firm since 1/19/2024
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Registered with this firm since 1/19/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/16/2020 - 01/19/2024 | MANHASSET, NY | |
B | 10/10/2020 - 01/19/2024 | MANHASSET, NY | |
IA | 02/10/2016 - 08/28/2020 | BAYSIDE, NY | |
B | 02/08/2016 - 08/28/2020 | BAYSIDE, NY | |
IA | 03/31/2011 - 02/01/2016 | MIDDLE VILLAGE, NY | |
B | 03/31/2011 - 02/01/2016 | MIDDLE VILLAGE, NY | |
IA | 08/06/2010 - 03/24/2011 | NEW YORK, NY | |
B | 08/06/2010 - 03/24/2011 | NEW YORK, NY | |
IA | 12/15/2009 - 08/13/2010 | LONG ISLAND CITY, NY | |
B | 12/15/2009 - 08/13/2010 | LONG ISLAND CITY, NY | |
IA | 12/22/2008 - 12/11/2009 | FREEPORT, NY | |
B | 12/19/2008 - 12/11/2009 | FREEPORT, NY | |
IA | 06/17/2008 - 12/18/2008 | LAKE SUCCESS, NY | |
B | 06/10/2008 - 12/18/2008 | LAKE SUCCESS, NY | |
IA | 03/04/2008 - 06/09/2008 | NEW ROCHELLE, NY | |
B | 03/04/2008 - 06/09/2008 | NEW ROCHELLE, NY | |
IA | 01/04/2007 - 03/04/2008 | NEW YORK, NY | |
B | 01/03/2007 - 03/04/2008 | NEW YORK, NY | |
IA | 04/07/2004 - 12/20/2006 | NEW YORK, NY | |
B | 03/30/2004 - 12/20/2006 | NEW YORK, NY | |
IA | 08/29/2003 - 03/25/2004 | MIAMI, FL | |
B | 08/11/2003 - 03/25/2004 | MINNEAPOLIS, MN | |
B | 08/11/2003 - 03/25/2004 | MINNEAPOLIS, MN |
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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.