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ROBERT GEORGE TARDIO
ROBERT TARDIO
CRD#: 5823765
IA
B
OSAIC WEALTH, INC.CRD#: 23131 WEST CHICAGO, IL
0
Disclosures
14
Years of Experience
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State Registrations
B
Alabama 9/1/2023
B
Indiana 9/1/2023
B
Arizona 9/1/2023
B
North Carolina 9/1/2023
B
Florida 9/1/2023
IA
North Carolina 9/1/2023
B
Illinois 9/1/2023
B
South Carolina 1/3/2025
IA
Illinois 9/1/2023
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/17/2015 - 09/01/2023 | WEST CHICAGO, IL | |
B | 02/10/2015 - 09/01/2023 | WEST CHICAGO, IL | |
IA | 11/01/2010 - 12/22/2014 | CHICAGO, IL | |
B | 09/09/2010 - 12/22/2014 | CHICAGO, IL |
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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.