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KRISTEN LEIGH KROEGER
KRISTEN L SMITH, KRISTEN LEIGH SMITH
CRD#: 2835083
IA
B
OSAIC WEALTH, INC.CRD#: 23131 2908 POSTON AVE.
SUITE 1
NASHVILLE, TN 37203
SUITE 1
NASHVILLE, TN 37203
0
Disclosures
23
Years of Experience
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State Registrations
B
California 11/2/2018
IA
California 11/2/2018
SRO Registrations
B
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IA
Registered with this firm since 11/2/2018
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Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2014 - 11/02/2018 | ANAHEIM, CA | |
B | 12/16/2011 - 11/02/2018 | ANAHEIM, CA | |
IA | 02/15/2000 - 05/16/2007 | ANAHEIM, CA | |
B | 12/20/1996 - 05/16/2007 | ANAHEIM, CA | |
B | 12/20/1996 - 05/01/1997 | BOSTON, MA |
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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.