Individual Firm
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SCOTT DOUGLAS HARWELL
SCOTT D HARWELL
CRD#: 2693610
IA
B
OSAIC WEALTH, INC.CRD#: 23131 5401 S KIRKMAN ROAD
SUITE 310
ORLANDO, FL 32819
SUITE 310
ORLANDO, FL 32819
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7/8/2002
Customer Dispute
Pending
8/30/2001
Customer Dispute
Denied
State Registrations
B
Alabama 6/14/2024
B
Minnesota 6/14/2024
B
Arkansas 6/14/2024
B
Mississippi 6/14/2024
B
Florida 6/14/2024
B
Missouri 6/14/2024
IA
Florida 6/14/2024
B
New Hampshire 6/14/2024
B
Georgia 6/14/2024
B
New York 6/14/2024
IA
Georgia 6/14/2024
B
North Carolina 6/14/2024
B
Illinois 6/14/2024
B
Ohio 6/14/2024
B
Indiana 6/14/2024
B
Oregon 6/14/2024
B
Kentucky 6/14/2024
B
South Carolina 6/14/2024
B
Maryland 6/14/2024
B
Vermont 6/14/2024
B
Michigan 6/14/2024
B
Virginia 6/14/2024
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 6/14/2024
B
Registered with this firm since 6/14/2024
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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.