Individual Firm
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WILLIAM ROBERT FARRAJ
CRD#: 3132592
IA
B
OSAIC WEALTH, INC.CRD#: 23131 695 Town Center Dr
SUITE 530
Costa Mesa, CA 92626
SUITE 530
Costa Mesa, CA 92626
View By:
3/11/2002
Customer Dispute
Settled
State Registrations
B
Alabama 9/1/2023
B
Nevada 9/1/2023
B
Arizona 9/1/2023
B
New Mexico 9/1/2023
B
California 9/1/2023
B
New York 9/1/2023
IA
California 9/1/2023
B
North Carolina 9/1/2023
B
Colorado 9/1/2023
B
North Dakota 9/1/2023
IA
Colorado 6/7/2024
B
Ohio 9/1/2023
B
Connecticut 9/1/2023
B
Oklahoma 9/1/2023
B
Florida 9/1/2023
B
Oregon 9/1/2023
B
Georgia 9/1/2023
B
Pennsylvania 9/15/2023
B
Hawaii 9/1/2023
B
South Dakota 9/1/2023
B
Idaho 9/1/2023
B
Texas 9/1/2023
B
Illinois 9/1/2023
B
Utah 9/1/2023
B
Kansas 9/1/2023
B
Virginia 9/1/2023
B
Maryland 9/1/2023
B
Washington 9/1/2023
B
Michigan 9/1/2023
B
Wisconsin 9/1/2023
SRO Registrations
B
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IA
Registered with this firm since 9/1/2023
B
Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/19/2017 - 09/01/2023 | Costa Mesa, CA | |
B | 10/31/2005 - 09/01/2023 | Costa Mesa, CA | |
IA | 12/15/1999 - 11/13/2019 | IRVINE, CA | |
B | 11/13/1998 - 10/31/2005 | PHOENIX, AZ | |
IA | 12/15/1999 - 01/30/1998 | SANTA ANA, CA |
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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.