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MICHAEL SEAN GODWIN
CRD#: 3198587
IA
B
OSAIC WEALTH, INC.CRD#: 23131 8816 SIX FORKS ROAD
SUITE 301
RALEIGH, NC 27615
SUITE 301
RALEIGH, NC 27615
0
Disclosures
24
Years of Experience
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State Registrations
B
Massachusetts 7/15/2021
IA
North Carolina 11/2/2018
B
North Carolina 11/2/2018
B
South Carolina 11/2/2018
SRO Registrations
B
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IA
Registered with this firm since 11/2/2018
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Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/05/2013 - 11/02/2018 | RALEIGH, NC | |
B | 08/16/2013 - 11/02/2018 | RALEIGH, NC | |
IA | 08/24/2006 - 08/23/2013 | CARY, NC | |
B | 12/01/2005 - 08/23/2013 | CARY, NC | |
B | 04/23/2004 - 12/01/2005 | DES MOINES, IA | |
B | 04/16/2003 - 03/31/2004 | NEW YORK, NY | |
B | 10/05/2000 - 05/01/2003 | BOSTON, MA | |
B | 07/27/2000 - 08/24/2000 | NEW YORK, NY | |
B | 04/27/2000 - 07/20/2000 | BOSTON, MA |
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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.