Individual Firm
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DARIN GAFFIN KAYLOR
CRD#: 4770450
IA
B
OSAIC WEALTH, INC.CRD#: 23131 306 LAUREL MOUNTAIN ROAD
SUITE 104
MAMMOTH LAKES, CA 93546
SUITE 104
MAMMOTH LAKES, CA 93546
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Arizona 6/14/2024
B
Ohio 6/14/2024
B
Arkansas 6/14/2024
B
Oregon 6/14/2024
B
California 6/14/2024
B
South Carolina 6/14/2024
IA
California 6/14/2024
B
Texas 9/24/2024
B
Colorado 10/22/2024
IA
Texas 9/26/2024
B
Nevada 6/14/2024
B
Washington 6/14/2024
SRO Registrations
B
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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 | 01/23/2009 - 06/14/2024 | MAMMOTH LAKES, CA | |
B | 01/23/2009 - 06/14/2024 | MAMMOTH LAKES, CA | |
IA | 12/19/2005 - 01/23/2009 | MAMMOTH LAKES, CA | |
B | 12/16/2005 - 01/23/2009 | FOLSOM, CA | |
IA | 01/27/2005 - 12/21/2005 | ROSEVILLE, CA | |
B | 12/06/2004 - 12/21/2005 | HOUSTON, 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.
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.