Individual Firm
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STEVEN JAMES NIDA
STEVEN NIDA
CRD#: 4803028
IA
B
OSAIC WEALTH, INC.CRD#: 23131 3356 KIMBALL AVE
SUITE # 1
WATERLOO, IA 50702
SUITE # 1
WATERLOO, IA 50702
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11/19/2012
Customer Dispute
Denied
3/19/2012
Customer Dispute
Denied
12/20/1989
Criminal
Final Disposition
State Registrations
B
California 6/14/2024
B
South Carolina 6/14/2024
IA
California 6/14/2024
B
Tennessee 6/14/2024
B
Colorado 6/14/2024
B
Texas 6/14/2024
B
Iowa 6/14/2024
IA
Texas 6/14/2024
IA
Iowa 6/14/2024
B
Virginia 6/14/2024
B
Minnesota 6/14/2024
B
Washington 6/14/2024
B
New Mexico 6/14/2024
B
Wisconsin 6/14/2024
B
Oregon 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 | 10/04/2011 - 06/14/2024 | WATERLOO, IA | |
B | 10/04/2011 - 06/14/2024 | WATERLOO, IA | |
IA | 01/03/2011 - 10/05/2011 | CEDAR FALLS, IA | |
B | 01/03/2011 - 10/05/2011 | CEDAR FALLS, IA | |
IA | 12/17/2007 - 01/03/2011 | CEDAR FALLS, IA | |
B | 12/17/2007 - 01/03/2011 | CEDAR FALLS, IA | |
IA | 09/12/2007 - 12/18/2007 | CEDAR FALLS, IA | |
B | 07/22/2004 - 12/18/2007 | CEDAR FALLS, IA |
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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.