Individual Firm
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STEPHEN CLAUDE CARTER
CRD#: 6074080
IA
B
OSAIC WEALTH, INC.CRD#: 23131 4095 CHICAGO DR SW
SUITE 120
GRANDVILLE, MI 49418
SUITE 120
GRANDVILLE, MI 49418
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
Arizona 1/8/2020
B
Michigan 11/2/2018
B
California 6/27/2019
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Michigan 11/2/2018
B
Colorado 11/2/2018
B
Ohio 8/22/2023
B
District of Columbia 1/13/2022
B
South Carolina 7/19/2021
B
Georgia 11/2/2018
B
Washington 10/7/2022
B
Illinois 11/2/2018
B
Wisconsin 3/7/2022
B
Indiana 1/3/2022
SRO Registrations
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Registered with this firm since 11/2/2018
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Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/07/2017 - 11/02/2018 | GRANDVILLE, MI | |
B | 07/07/2017 - 11/02/2018 | GRANDVILLE, MI | |
B | 04/28/2014 - 07/31/2017 | GRANDVILLE, MI | |
IA | 05/05/2014 - 12/31/2016 | GRANDVILLE, MI | |
B | 03/14/2014 - 05/13/2014 | GRAND RAPIDS, MI | |
IA | 10/15/2013 - 03/14/2014 | GRAND RAPIDS, MI | |
B | 06/25/2013 - 03/14/2014 | GRAND RAPIDS, MI |
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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.