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AMY LYNN FINO
AMY LYNN HORROCKS
CRD#: 4703754
IA
B
OSAIC WEALTH, INC.CRD#: 23131 57 PLAINS ROAD
UNIT 32
MILFORD, CT 06461
UNIT 32
MILFORD, CT 06461
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Arizona 11/3/2023
B
Massachusetts 11/3/2023
B
Connecticut 11/3/2023
B
New Jersey 11/3/2023
IA
Connecticut 11/3/2023
B
New York 11/3/2023
B
Florida 11/3/2023
B
Rhode Island 11/3/2023
IA
Florida 12/13/2023
B
South Carolina 11/3/2023
SRO Registrations
B
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IA
Registered with this firm since 11/3/2023
B
Registered with this firm since 11/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/2005 - 11/03/2023 | MILFORD, CT | |
B | 01/01/2004 - 11/03/2023 | MILFORD, CT |
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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.