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NAN WANG
NELSON WANG
CRD#: 4832232
IA
B
OSAIC WEALTH, INC.CRD#: 23131 1100 ALAKEA STREET
23RD FLOOR
HONOLULU, HI 96813
23RD FLOOR
HONOLULU, HI 96813
0
Disclosures
19
Years of Experience
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State Registrations
B
California 11/2/2018
B
Michigan 8/29/2019
IA
California 1/3/2024
B
Nevada 11/2/2018
B
Hawaii 11/2/2018
IA
Nevada 1/23/2019
IA
Hawaii 11/2/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/2/2018
B
Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/16/2007 - 11/02/2018 | LAFAYETTE, CA | |
B | 02/08/2006 - 11/02/2018 | LAFAYETTE, CA | |
IA | 10/18/2004 - 02/18/2005 | HONOLULU, HI | |
B | 09/28/2004 - 02/18/2005 | MINNEAPOLIS, MN | |
B | 09/28/2004 - 02/18/2005 | MINNEAPOLIS, MN |
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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.