Individual Firm
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ANDREW MILTON MOTES
CRD#: 4710588
IA
B
OSAIC WEALTH, INC.CRD#: 23131 109 SOUTH HARRIS STREET
SUITE 220
ROUND ROCK, TX 78664
SUITE 220
ROUND ROCK, TX 78664
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5/12/1989
Criminal
Final Disposition
State Registrations
B
Texas 1/24/2025
IA
Texas 1/24/2025
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/24/2025
B
Registered with this firm since 1/24/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/13/2023 - 01/24/2025 | ROUND ROCK, TX | |
B | 01/13/2023 - 01/24/2025 | ROUND ROCK, TX | |
IA | 03/25/2017 - 12/31/2022 | Austin, TX | |
B | 03/25/2017 - 12/31/2022 | Austin, TX | |
IA | 01/02/2015 - 03/25/2017 | AUSTIN, TX | |
B | 01/02/2015 - 03/25/2017 | AUSTIN, TX | |
IA | 06/25/2008 - 01/02/2015 | AUSTIN, TX | |
B | 11/18/2003 - 01/02/2015 | AUSTIN, TX |
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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.
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