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JUDITH S PLAIN
CRD#: 3202035
IA
B
OSAIC WEALTH, INC.CRD#: 23131 1159 PITTSFORD-VICTOR RD
SUITE 230
PITTSFORD, NY 14534
SUITE 230
PITTSFORD, NY 14534
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
California 11/3/2023
B
North Carolina 11/3/2023
B
District of Columbia 11/3/2023
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North Carolina 9/25/2024
B
Florida 11/3/2023
B
Ohio 11/3/2023
IA
Florida 11/3/2023
B
Oklahoma 11/3/2023
B
Maryland 4/25/2024
B
Pennsylvania 11/3/2023
B
Michigan 12/24/2024
B
South Carolina 4/15/2024
B
New Hampshire 8/9/2024
B
Texas 11/3/2023
B
New Jersey 11/3/2023
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Texas 11/3/2023
B
New Mexico 11/3/2023
B
Vermont 11/3/2023
B
New York 11/3/2023
B
Virginia 12/19/2023
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New York 11/3/2023
B
Washington 6/25/2024
SRO Registrations
B
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Registered with this firm since 11/3/2023
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Registered with this firm since 11/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/10/2018 - 11/03/2023 | PITTSFORD, NY | |
B | 12/01/2016 - 11/03/2023 | PITTSFORD, NY | |
B | 01/31/2013 - 12/01/2016 | WEST HENRIETTA, NY | |
B | 01/01/2005 - 07/18/2012 | AVON, NY | |
B | 04/13/1999 - 01/01/2005 | NEW YORK, NY |
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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.