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STEPHEN RAY FOSTER
CRD#: 4851836
IA
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OSAIC WEALTH, INC.CRD#: 23131 14015 PARK DRIVE
SUITE 107
TOMBALL, TX 77377
SUITE 107
TOMBALL, TX 77377
0
Disclosures
20
Years of Experience
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State Registrations
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Alabama 4/10/2019
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Montana 7/2/2021
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Alaska 6/20/2019
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Nevada 8/6/2024
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Arizona 4/10/2019
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New Hampshire 6/20/2019
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Arkansas 6/24/2016
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New Jersey 5/27/2016
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California 6/20/2019
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New Mexico 4/10/2019
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Colorado 5/22/2017
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New Mexico 6/9/2023
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Connecticut 6/20/2019
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New York 6/20/2019
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Delaware 9/9/2022
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North Carolina 4/10/2019
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District of Columbia 1/29/2021
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North Dakota 4/10/2019
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Florida 9/20/2017
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Ohio 4/10/2019
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Florida 6/9/2023
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Oklahoma 6/20/2019
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Georgia 4/10/2019
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Oregon 6/20/2019
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Idaho 7/30/2019
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Pennsylvania 10/23/2017
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Illinois 6/20/2019
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South Carolina 2/17/2022
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Indiana 6/20/2019
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South Dakota 1/29/2021
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Iowa 6/20/2019
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Tennessee 4/11/2019
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Kansas 2/28/2019
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Texas 11/25/2009
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Louisiana 2/10/2017
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Texas 11/25/2009
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Maryland 10/19/2020
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Utah 6/20/2019
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Massachusetts 1/29/2021
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Virginia 1/29/2021
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Michigan 2/17/2022
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Washington 3/24/2010
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Minnesota 1/2/2018
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Wisconsin 5/14/2020
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Mississippi 4/10/2019
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Wyoming 9/3/2021
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Missouri 6/20/2019
SRO Registrations
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Registered with this firm since 11/25/2009
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Registered with this firm since 11/25/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/20/2007 - 12/01/2009 | TOMBALL, TX | |
B | 08/21/2006 - 12/01/2009 | TOMBALL, TX | |
B | 10/25/2005 - 08/29/2006 | TOMBALL, TX | |
IA | 01/03/2005 - 10/25/2005 | HOUSTON, TX | |
B | 09/20/2004 - 10/25/2005 | NEWARK, NJ |
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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.
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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.