Individual Firm
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MATTHEW BROWN WHITAKER
MATT WHITAKER
CRD#: 2749418
IA
B
OSAIC WEALTH, INC.CRD#: 23131 3781 WESTERRE PKWY STE A
HENRICO, VA 23233
HENRICO, VA 23233
View By:
3/13/2023
Financial
Pending
8/23/2010
Customer Dispute
Denied
7/26/2010
Employment Separation After Allegations
State Registrations
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New York 6/14/2024
B
Texas 6/14/2024
B
North Carolina 6/14/2024
B
Virginia 6/14/2024
B
South Carolina 6/14/2024
IA
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
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Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/25/2017 - 06/14/2024 | HENRICO, VA | |
B | 08/25/2017 - 06/14/2024 | HENRICO, VA | |
IA | 12/03/2012 - 09/01/2017 | GLEN ALLEN, VA | |
B | 11/30/2012 - 09/01/2017 | GLEN ALLEN, VA | |
IA | 12/09/2011 - 12/01/2012 | BIRMINGHAM, AL | |
B | 12/09/2011 - 12/01/2012 | RICHMOND, VA | |
IA | 10/29/2010 - 12/09/2011 | RICHMOND, VA | |
B | 10/29/2010 - 12/09/2011 | RICHMOND, VA | |
IA | 08/05/2010 - 08/17/2010 | RICHMOND, VA | |
B | 07/29/2010 - 08/17/2010 | RICHMOND, VA | |
IA | 02/25/2004 - 07/30/2010 | RICHMOND, VA | |
B | 02/25/2004 - 07/30/2010 | RICHMOND, VA | |
IA | 07/29/2010 - 07/29/2010 | RICHMOND, VA | |
IA | 06/26/2002 - 02/23/2004 | RICHMOND, VA | |
B | 05/26/2000 - 02/23/2004 | ATLANTA, GA | |
B | 10/21/1997 - 05/26/2000 | RICHMOND, VA | |
B | 09/04/1996 - 10/17/1997 | WEEHAWKEN, NJ |
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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.