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Matt Puglisi
MATTHEW JOSEPH PUGLISI
CRD#: 4202369
IA
B
OSAIC WEALTH, INC.CRD#: 23131 3535 GRANDVIEW PARKWAY
SUITE 500
Birmingham, AL 35243
SUITE 500
Birmingham, AL 35243
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alabama 6/14/2024
B
Massachusetts 6/14/2024
IA
Alabama 6/14/2024
B
North Carolina 6/14/2024
B
Florida 6/14/2024
B
Virginia 6/14/2024
B
Maryland 6/14/2024
SRO Registrations
B
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IA
Registered with this firm since 6/14/2024
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Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2023 - 06/14/2024 | BIRMINGHAM, AL | |
B | 02/10/2023 - 06/14/2024 | Birmingham, AL | |
IA | 10/31/2019 - 07/01/2021 | Alexandria, VA | |
B | 10/31/2019 - 07/01/2021 | Alexandria, VA | |
B | 12/15/2016 - 03/29/2019 | GREENWOOD VILLAGE, CO | |
B | 01/09/2013 - 11/11/2016 | DENVER, CO | |
B | 04/01/2006 - 11/08/2012 | BLOOMFIELD, CT | |
B | 05/12/2004 - 04/01/2006 | EL SEGUNDO, CA | |
B | 12/19/2000 - 01/31/2003 | MINNEAPOLIS, MN |
For additional information about investment advisers or broker-dealers, please visit
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.