Individual Firm
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RICHARD J. SMITH JR.
RICHARD J SMITH
CRD#: 5630373
IA
B
OSAIC WEALTH, INC.CRD#: 23131 508 ALLEGHENY RIVER BLVD
SUITE 201
OAKMONT, PA 15139
SUITE 201
OAKMONT, PA 15139
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1/30/2019
Financial
Final
State Registrations
B
Georgia 1/24/2025
IA
Pennsylvania 1/24/2025
B
Pennsylvania 1/24/2025
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 1/24/2025
B
Registered with this firm since 1/24/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/20/2015 - 01/24/2025 | OAKMONT, PA | |
B | 11/20/2015 - 01/24/2025 | OAKMONT, PA | |
IA | 10/21/2011 - 11/25/2015 | DELMONT, PA | |
B | 02/17/2009 - 11/25/2015 | DELMONT, PA |
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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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