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Elizabeth Windsor Thompson
ELIZABETH W SAMS, ELIZABETH WINDSOR SAMS, Elizabeth Thompson, ELIZABETH ANN WINDSOR
CRD#: 2939111
IA
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OSAIC WEALTH, INC.CRD#: 23131 301 Concourse Boulevard
Suite 140
Glen Allen, VA 23059
Suite 140
Glen Allen, VA 23059
0
Disclosures
24
Years of Experience
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State Registrations
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California 12/18/2023
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New Jersey 5/20/2024
B
Florida 12/18/2023
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North Carolina 12/21/2023
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Florida 12/19/2023
B
Ohio 5/21/2024
B
Indiana 12/18/2023
B
Virginia 12/18/2023
B
Maryland 2/5/2024
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Virginia 12/18/2023
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New Hampshire 12/18/2023
SRO Registrations
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Registered with this firm since 12/18/2023
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Registered with this firm since 12/18/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/03/2020 - 01/02/2024 | GLEN ALLEN, VA | |
B | 03/05/2020 - 12/21/2023 | GLEN ALLEN, VA | |
IA | 04/13/2017 - 08/28/2019 | RICHMOND, VA | |
B | 04/13/2017 - 08/28/2019 | RICHMOND, VA | |
IA | 10/19/2015 - 03/23/2017 | RICHMOND, VA | |
B | 10/19/2015 - 03/23/2017 | RICHMOND, VA | |
B | 03/10/2011 - 11/27/2015 | Glen Allen, VA | |
IA | 05/15/2014 - 10/13/2015 | GLEN ALLEN, VA | |
IA | 03/10/2011 - 03/31/2014 | Glen Allen, VA | |
IA | 04/29/2009 - 03/15/2011 | RICHMOND, VA | |
B | 05/04/2009 - 03/15/2011 | RICHMOND, VA | |
IA | 06/04/2008 - 01/06/2009 | RICHMOND, VA | |
B | 06/04/2008 - 01/06/2009 | RICHMOND, VA | |
IA | 04/27/2005 - 11/29/2006 | RICHMOND, VA | |
IA | 08/16/2005 - 08/03/2006 | RICHMOND, VA | |
B | 08/16/2005 - 08/03/2006 | RICHMOND, VA | |
B | 06/23/2004 - 08/17/2005 | HOUSTON, TX | |
IA | 04/29/2002 - 06/01/2004 | CHARLOTTE, NC | |
B | 09/07/2001 - 06/01/2004 | CHARLOTTE, NC | |
B | 11/30/2000 - 08/21/2001 | CHARLOTTE, NC | |
B | 10/28/1997 - 11/29/2000 | ST. CLOUD, MN |
RICHMOND, VA
04/27/2005 - 11/29/2006
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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.
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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.