Individual Firm
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JAMES WALLING KUEKAN
CRD#: 806699
IA
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OSAIC WEALTH, INC.CRD#: 23131 LACONIA, NH
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3/6/2005
Customer Dispute
Denied
State Registrations
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Connecticut 1/24/2025
IA
New Hampshire 1/24/2025
B
Florida 1/24/2025
B
New York 1/24/2025
B
Massachusetts 1/24/2025
B
Rhode Island 1/24/2025
B
New Hampshire 1/24/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/27/2004 - 01/24/2025 | LACONIA, NH | |
B | 12/18/2003 - 01/24/2025 | LACONIA, NH | |
B | 12/18/2003 - 05/22/2006 | FORT WAYNE, IN | |
IA | 04/14/1994 - 12/19/2003 | WORCESTER, MA | |
B | 03/26/1975 - 12/19/2003 | WORCESTER, MA |
WORCESTER, MA
04/14/1994 - 12/19/2003
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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.
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.