Individual Firm
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THOMAS P KROEHLE JR.
TJ KROEHLE
CRD#: 4388363
IA
B
OSAIC WEALTH, INC.CRD#: 23131 3939 Belt Line Rd STE 310
Addison, TX 75001
Addison, TX 75001
View By:
2/6/2022
Customer Dispute
Denied
1/29/2016
Customer Dispute
Closed-No Action
State Registrations
B
Alaska 6/14/2024
B
Maryland 6/14/2024
B
Arizona 6/14/2024
B
Nevada 6/14/2024
B
Arkansas 6/14/2024
B
New Jersey 12/19/2024
B
California 6/14/2024
B
New York 6/14/2024
B
Colorado 6/14/2024
B
North Carolina 6/14/2024
B
Connecticut 6/14/2024
B
Ohio 6/14/2024
B
District of Columbia 6/14/2024
B
Oklahoma 6/14/2024
B
Florida 6/14/2024
B
Pennsylvania 6/14/2024
B
Georgia 6/14/2024
B
South Carolina 6/14/2024
B
Hawaii 6/14/2024
B
Texas 6/14/2024
B
Idaho 6/14/2024
IA
Texas 6/14/2024
B
Illinois 6/14/2024
B
Utah 6/14/2024
B
Iowa 6/14/2024
B
Virginia 6/14/2024
B
Kansas 6/14/2024
B
Washington 6/14/2024
B
Kentucky 6/14/2024
B
Wisconsin 6/14/2024
B
Louisiana 6/14/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/14/2024
B
Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2017 - 06/14/2024 | Addison, TX | |
B | 03/31/2017 - 06/14/2024 | Addison, TX | |
IA | 04/19/2016 - 04/05/2017 | WILLOW PARK, TX | |
B | 01/20/2005 - 04/05/2017 | ADDISON, TX | |
IA | 01/20/2005 - 09/22/2016 | ADDISON, TX | |
IA | 08/15/2003 - 01/07/2005 | DALLAS, TX | |
B | 07/16/2003 - 01/07/2005 | LAVISTA, NE | |
IA | 09/26/2001 - 07/17/2003 | DALLAS, TX | |
B | 08/13/2001 - 07/01/2003 | WORCESTER, MA |
DALLAS, TX
09/26/2001 - 07/17/2003
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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.