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Bryan Wisda Fined by State of Indiana 

Bryan Wisda (CRD #: 4347213), a broker formerly registered with UBS Financial Services, was the subject of a state regulatory action, according to his BrokerCheck record, accessed on June 29, 2025. If you have questions about his alleged conduct as a broker, read on.

Indiana Regulatory Action

On April 29, 2025, the State of Indiana alleged that Bryan Wisda and Almega Wealth Management accepted a sixth client without registering with the state in violation of the state’s de minimis rule.

De minimis exemptions allow registered investment advisors and their representatives to operate without registering with a state’s securities division so long as they have five clients or less.

Bryan Wisda consented to a fine of $4,000.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Bryan Wisda has passed the following exams:

  • General Securities Representative Examination – Series 7
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Combined State Law Examination – Series 66
  • Uniform Securities Agent State Law Examination – Series 63

He previously worked for UBS Financial Services (CRD#:8174) and Farmers Financial Solutions (CRD#:103863).

Kurta Law Can Help

If you worked with Bryan Wisda and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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