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Advisor at OSAIC WEALTH, INC.
SCOTTSDALE, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | Bd affiliated wealth | Sep 1, 2023 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Feb 16, 2022 | Sep 1, 2023 | no | SCOTTSDALE, AZ | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Sep 26, 2018 | Sep 13, 2021 | no | ATLANTA, GA | Previous registration |
| OSAIC FA, INC. | Former SEC adviser | Oct 29, 2014 | Jul 31, 2018 | no | FAIRBURN, GA|ATLANTA, GA|FORT WAYNE, IN | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Mar 6, 2012 | Jan 4, 2014 | no | Atlanta, GA | Previous registration |
| BB&T INVESTMENT SERVICES, INC. | Former SEC adviser | Sep 1, 2011 | Jan 30, 2012 | no | STOCKBRIDGE, GA|NEWNAN, GA|NEWNAN, GA|LA GRANGE, GA|GRIFFIN, GA|CHARLOTTE, NC|NEWNAN, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAGEPOINT FINANCIAL, INC. | OSAIC WEALTH, INC. | Sep 1, 2023 | Sep 1, 2023 | 0 | Bulk transfer | Ibd to ibd |
| FSC SECURITIES CORPORATION | SAGEPOINT FINANCIAL, INC. | Sep 13, 2021 | Feb 16, 2022 | 156 | Channel change | Ibd to ibd |
| OSAIC FA, INC. | FSC SECURITIES CORPORATION | Jul 31, 2018 | Sep 26, 2018 | 57 | Firm change | Ibd to ibd |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | OSAIC FA, INC. | Jan 4, 2014 | Oct 29, 2014 | 298 | Firm change | Other |
| BB&T INVESTMENT SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Jan 30, 2012 | Mar 6, 2012 | 36 | Firm change | Other |