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DANIEL ROY THIES
CRD#: 6087654
IA
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OSAIC WEALTH, INC.CRD#: 23131 4321 W COLLEGE AVE STE 200
APPLETON, WI 54914
APPLETON, WI 54914
0
Disclosures
11
Years of Experience
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State Registrations
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California 6/14/2024
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South Carolina 6/14/2024
B
Hawaii 3/21/2025
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Texas 6/14/2024
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Indiana 6/14/2024
B
Wisconsin 6/14/2024
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Minnesota 6/14/2024
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Wisconsin 6/14/2024
SRO Registrations
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Registered with this firm since 6/14/2024
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Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/24/2022 - 06/14/2024 | APPLETON, WI | |
B | 03/24/2022 - 06/14/2024 | APPLETON, WI | |
IA | 05/27/2016 - 02/02/2022 | STEVENS POINT, WI | |
B | 01/25/2016 - 02/02/2022 | STEVENS POINT, WI | |
B | 05/14/2013 - 01/25/2016 | STEVENS POINT, WI |
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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.