Individual Firm
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RAUL L LOPEZ MORALES
RAUL L LOPEZ, RAUL L LOPEZ - MORALES, RAUL L MORALES
CRD#: 2859381
IA
B
OSAIC WEALTH, INC.CRD#: 23131 1511 N. WESTSHORE BLVD.
SUITE 1100
TAMPA, FL 33607
SUITE 1100
TAMPA, FL 33607
View By:
7/30/2018
Regulatory
Final
State Registrations
B
Alabama 11/24/2020
B
New Hampshire 11/2/2018
B
California 11/2/2018
B
New Jersey 10/8/2021
IA
California 11/2/2018
B
New York 8/8/2024
B
Florida 11/2/2018
B
Puerto Rico 11/2/2018
IA
Florida 11/2/2018
IA
Puerto Rico 11/29/2018
B
Georgia 11/13/2023
B
Tennessee 11/14/2023
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 11/2/2018
B
Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/31/2012 - 11/02/2018 | TAMPA, FL | |
B | 11/14/2007 - 11/02/2018 | TAMPA, FL |
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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.
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