Individual Firm
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SCOT ARTHUR REGNER
SCOT A REGNER
CRD#: 717065
IA
B
OSAIC WEALTH, INC.CRD#: 23131 18700 N. HAYDEN ROAD
SUITE 255
SCOTTSDALE, AZ 85255
SUITE 255
SCOTTSDALE, AZ 85255
View By:
11/3/2014
Customer Dispute
Settled
State Registrations
B
Alabama 10/11/2024
B
New Hampshire 10/11/2024
B
Florida 10/11/2024
B
North Carolina 10/11/2024
IA
Florida 10/11/2024
B
South Carolina 10/11/2024
B
Georgia 10/11/2024
B
Tennessee 10/11/2024
IA
Georgia 10/11/2024
B
Texas 10/11/2024
B
Maine 10/11/2024
IA
Texas 12/13/2024
B
Montana 10/11/2024
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 10/11/2024
B
Registered with this firm since 10/11/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/19/2024 - 10/11/2024 | HOLBROOK, NY | |
B | 02/16/2024 - 10/11/2024 | Jacksonville Beach, FL | |
IA | 05/19/1985 - 02/27/2024 | JACKSONVILLE BEACH, FL | |
B | 10/20/1980 - 02/27/2024 | JACKSONVILLE BEACH, FL | |
B | 10/17/1980 - 01/05/2000 | NEW YORK, NY |
Jacksonville Beach, FL
02/16/2024 - 10/11/2024
NEW YORK, NY
10/17/1980 - 01/05/2000
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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.