Individual Firm
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JULIAN ESTEVEN OSSA
CRD#: 6138945
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 6300 CENTRAL AVE
ST. PETERSBURG, FL 33707
ST. PETERSBURG, FL 33707
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 3601 34TH ST N
SAINT PETERSBURG, FL 33713
SAINT PETERSBURG, FL 33713
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7/22/2015
Criminal
Final Disposition
State Registrations
B
Alabama 3/14/2019
B
Nevada 5/3/2019
B
Alaska 4/19/2023
B
New Hampshire 10/29/2021
B
Arizona 4/26/2019
B
New Jersey 4/24/2019
B
Colorado 6/10/2019
B
New Mexico 5/24/2019
B
Connecticut 4/24/2019
B
New York 5/23/2019
B
Delaware 6/18/2019
B
North Carolina 3/8/2019
B
District of Columbia 4/9/2020
B
Ohio 3/6/2019
B
Florida 4/23/2019
B
Pennsylvania 3/8/2019
IA
Florida 4/23/2019
B
Puerto Rico 11/7/2023
B
Georgia 4/2/2019
B
Rhode Island 3/6/2019
B
Hawaii 6/9/2022
IA
Rhode Island 4/21/2020
B
Illinois 6/10/2019
B
South Carolina 4/25/2019
B
Indiana 3/8/2019
B
Tennessee 4/24/2019
B
Iowa 3/8/2019
B
Texas 3/12/2019
B
Kansas 3/8/2019
IA
Texas 8/10/2021
B
Maryland 3/8/2019
B
Vermont 4/24/2019
B
Michigan 4/9/2020
B
Virginia 4/24/2019
B
Missouri 3/8/2019
B
Washington 5/28/2019
B
Montana 3/7/2019
B
Wisconsin 1/13/2022
B
Nebraska 4/29/2019
SRO Registrations
B
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IA
Registered with this firm since 4/23/2019
B
Registered with this firm since 3/5/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/16/2014 - 03/04/2019 | TAMPA, FL | |
B | 02/14/2013 - 03/04/2019 | TAMPA, FL |
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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.