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DOUGLAS JOHN MAYES
CRD#: 324044
IA
B
OSAIC WEALTH, INC.CRD#: 23131 7114 W JEFFERSON AVE
SUITE 202
LAKEWOOD, CO 80235
SUITE 202
LAKEWOOD, CO 80235
0
Disclosures
51
Years of Experience
View By:
State Registrations
B
Alabama 11/24/2023
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Montana 9/1/2023
B
Arizona 9/1/2023
B
Nebraska 9/1/2023
B
California 9/1/2023
B
New Mexico 9/1/2023
IA
California 9/1/2023
B
North Carolina 9/1/2023
B
Colorado 9/1/2023
B
Ohio 9/1/2023
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Colorado 9/1/2023
B
Oregon 9/1/2023
B
Idaho 9/1/2023
B
Texas 9/1/2023
B
Iowa 9/1/2023
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Texas 9/1/2023
B
Kansas 9/1/2023
B
Utah 9/1/2023
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Massachusetts 9/1/2023
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Washington 9/1/2023
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Minnesota 9/1/2023
B
Wyoming 9/1/2023
SRO Registrations
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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 | 10/31/2017 - 09/01/2023 | LAKEWOOD, CO | |
B | 10/31/2017 - 09/01/2023 | LAKEWOOD, CO | |
IA | 02/02/2001 - 11/02/2017 | LAKEWOOD, CO | |
B | 02/02/2001 - 11/02/2017 | LAKEWOOD, CO | |
B | 01/19/1993 - 02/13/2001 | NEW YORK, NY | |
B | 05/21/1979 - 09/03/1993 | ||
B | 03/12/1974 - 04/13/1979 |
LAKEWOOD, CO
02/02/2001 - 11/02/2017
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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.