Individual Firm
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ROBERT PAUL KIMMEL
ROBERT KIMMEL
CRD#: 3094471
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OSAIC WEALTH, INC.CRD#: 23131 NEWPORT BEACH, CA
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10/3/1993
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State Registrations
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California 1/24/2025
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Iowa 1/24/2025
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California 1/24/2025
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Nevada 1/24/2025
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Colorado 1/24/2025
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Tennessee 1/24/2025
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Connecticut 1/24/2025
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/02/2019 - 01/24/2025 | NEWPORT BEACH, CA | |
B | 11/29/2019 - 01/24/2025 | NEWPORT BEACH, CA | |
IA | 01/24/2017 - 10/03/2019 | SAN JUAN CAPISTRANO, CA | |
B | 01/24/2017 - 10/03/2019 | SAN JUAN CAPISTRANO, CA | |
IA | 06/29/2015 - 01/31/2017 | HUNTINGTON BEACH, CA | |
B | 06/30/2015 - 01/31/2017 | HUNTINGTON BEACH, CA | |
IA | 03/20/2012 - 05/13/2015 | CYPRESS, CA | |
B | 02/27/2012 - 05/13/2015 | CYPRESS, CA |
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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.
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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.
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