Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CAROL MARIA LAWSON
CAROL MARIA BOSCH, CAROL MARIA WELCH
CRD#: 4570472
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 8055 EAST TUFTS AVENUE
SUITE 1400
DENVER, CO 80237
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2016 - 2025 (8 years)2 FIRMS2025 - Present (<1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2009 - 2016 (6 years)BINTERSECURITIES, INC. (CRD# 16164)2004 - 2009 (5 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2011 - 2016 (4 years)
License(s)

State Registrations

B
Colorado 1/24/2025
IA
Colorado 1/24/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
8055 EAST TUFTS AVENUE SUITE 1400, DENVER, CO 80237
Registered with this firm since 1/24/2025
B
OSAIC WEALTH, INC. (CRD#:23131)
8055 EAST TUFTS AVENUE SUITE 1400, DENVER, CO 80237
Registered with this firm since 1/24/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/30/2016 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) DENVER, CO
B
 06/30/2016 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) DENVER, CO
IA
 10/04/2011 - 06/02/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) CASTLE ROCK, CO
B
 07/24/2009 - 06/02/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) CASTLE ROCK, CO
B
 05/11/2004 - 07/29/2009 INTERSECURITIES, INC. (CRD#:16164) CENTENNIAL, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.