Individual Firm
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PAUL LEE SAIA
CRD#: 841630
IA
B
OSAIC WEALTH, INC.CRD#: 23131 201 OFFICE PARK DR
SUITE 300
BIRMINGHAM, AL 35223-2424
SUITE 300
BIRMINGHAM, AL 35223-2424
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5/20/1991
Customer Dispute
Settled
State Registrations
B
Alabama 1/24/2025
B
Georgia 1/24/2025
IA
Alabama 1/24/2025
B
Tennessee 1/24/2025
B
Florida 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
Registered with this firm since 1/24/2025
B
Registered with this firm since 1/24/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/11/1995 - 01/24/2025 | BIRMINGHAM, AL | |
B | 08/22/1977 - 01/24/2025 | BIRMINGHAM, AL | |
B | 08/22/1977 - 04/01/2006 | FORT WAYNE, IN | |
B | 07/20/1982 - 01/03/1989 |
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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.