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KURT LEE NEILAN
KURT L NEILAN, KURT NEILAN
CRD#: 3164540
IA
B
OSAIC WEALTH, INC.CRD#: 23131 21671 GATEWAY CENTER DR
SUITE 112
DIAMOND BAR, CA 91765
SUITE 112
DIAMOND BAR, CA 91765
0
Disclosures
26
Years of Experience
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State Registrations
B
California 1/19/2024
IA
California 1/19/2024
SRO Registrations
B
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Registered with this firm since 1/19/2024
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Registered with this firm since 1/19/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/13/2004 - 01/19/2024 | DIAMOND BAR, CA | |
B | 08/26/2004 - 01/19/2024 | DIAMOND BAR, CA | |
IA | 08/15/2002 - 08/11/2004 | DIAMOND BAR, CA | |
B | 06/18/2002 - 08/11/2004 | FORT MILL, SC | |
IA | 07/17/2000 - 07/24/2002 | DIAMOND BAR, CA | |
B | 01/25/1999 - 07/08/2002 | DALLAS, TX |
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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.