Individual Firm
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DOUGLAS JAMES NIOSI
CRD#: 3244599
IA
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OSAIC WEALTH, INC.CRD#: 23131 34 Shrewsbury Ave
SUITE 1B
RED BANK, NJ 07701
SUITE 1B
RED BANK, NJ 07701
View By:
6/12/2017
Customer Dispute
Denied
State Registrations
B
Alabama 1/6/2021
B
Michigan 2/24/2023
B
Arkansas 6/24/2020
B
New Jersey 11/2/2018
B
California 11/2/2018
IA
New Jersey 11/2/2018
B
Colorado 1/6/2022
B
New York 11/2/2018
B
Connecticut 5/26/2023
B
Oregon 1/14/2022
B
Delaware 11/2/2018
B
Pennsylvania 11/2/2018
B
Florida 11/2/2018
B
South Carolina 1/21/2022
B
Georgia 11/2/2018
B
Tennessee 6/18/2020
B
Indiana 11/2/2018
B
Texas 7/23/2020
B
Iowa 10/8/2024
B
Vermont 11/2/2018
B
Louisiana 4/13/2022
B
Virginia 11/2/2018
B
Maryland 1/27/2020
B
Washington 9/22/2021
B
Massachusetts 11/2/2018
SRO Registrations
B
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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 | 12/14/2004 - 11/02/2018 | RED BANK, NJ | |
B | 01/25/2002 - 11/02/2018 | RED BANK, NJ | |
B | 10/08/1999 - 01/08/2001 | NEW YORK, NY |
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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.
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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.