Individual Firm
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DOROTHY ANN ALLEN
DOROTHY A ALLEN, DOROTHY ANN CROTEAU, DOROTHY ANN ORDWAY
CRD#: 2962381
IA
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OSAIC WEALTH, INC.CRD#: 23131 MANAKIN SABOT, VA
0
Disclosures
27
Years of Experience
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State Registrations
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New Hampshire 1/24/2025
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Virginia 1/24/2025
B
South Carolina 1/24/2025
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Virginia 1/24/2025
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/24/2009 - 01/24/2025 | MANAKIN SABOT, VA | |
B | 02/24/2009 - 01/24/2025 | MANAKIN SABOT, VA | |
IA | 02/11/2004 - 03/06/2009 | RICHMOND, VA | |
B | 06/03/2002 - 03/06/2009 | RICHMOND, VA | |
B | 12/15/1997 - 06/03/2002 | NEW YORK, NY |
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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.