Individual Firm
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RYAN THOMAS FLEMING
CRD#: 4378425
IA
B
OSAIC WEALTH, INC.CRD#: 23131 10900 NE 4TH STREET
SUITE 2300, #2413
BELLEVUE, WA 98004
SUITE 2300, #2413
BELLEVUE, WA 98004
View By:
6/23/2022
Customer Dispute
Closed-No Action
4/5/2021
Customer Dispute
Settled
3/4/2021
Customer Dispute
Settled
State Registrations
B
Alaska 8/6/2024
B
New Hampshire 3/18/2024
B
Arizona 10/30/2020
B
North Carolina 11/9/2020
B
California 10/30/2020
B
Ohio 2/6/2023
B
Colorado 10/30/2020
B
Oregon 10/30/2020
B
Florida 10/30/2020
B
Pennsylvania 10/30/2020
IA
Florida 9/9/2024
B
South Carolina 10/22/2021
B
Georgia 10/30/2020
B
Texas 10/30/2020
B
Hawaii 11/20/2020
IA
Texas 8/17/2023
B
Idaho 11/2/2020
B
Utah 10/30/2020
B
Indiana 10/30/2020
B
Washington 10/30/2020
B
Minnesota 10/30/2020
IA
Washington 10/30/2020
B
Mississippi 9/19/2024
B
West Virginia 2/18/2021
B
Montana 11/10/2020
B
Wyoming 3/13/2025
SRO Registrations
B
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IA
Registered with this firm since 10/30/2020
B
Registered with this firm since 10/30/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/10/2001 - 11/02/2020 | BELLEVUE, WA | |
B | 05/21/2001 - 11/02/2020 | BELLEVUE, WA | |
IA | 06/13/2007 - 03/25/2016 | BELLEVUE, WA |
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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.