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BRIAN CAMPION STERN
CRD#: 3137402
IA
B
OSAIC WEALTH, INC.CRD#: 23131 2770 COMMERCE DRIVE NW
ROCHESTER, MN 55901
ROCHESTER, MN 55901
View By:
11/3/2023
Customer Dispute
Settled
State Registrations
B
Arizona 11/24/2020
B
North Dakota 11/2/2018
B
Iowa 11/2/2018
B
Texas 11/2/2018
B
Minnesota 11/2/2018
IA
Texas 9/3/2024
IA
Minnesota 11/2/2018
B
Wisconsin 11/2/2018
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 | 05/13/2016 - 11/02/2018 | ROCHESTER, MN | |
B | 05/13/2016 - 11/02/2018 | ROCHESTER, MN | |
IA | 02/05/2014 - 05/13/2016 | ROCHESTER, MN | |
B | 10/21/1998 - 05/13/2016 | ROCHESTER, MN |
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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.