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Advisor at OSAIC WEALTH, INC.
WALNUT CREEK, CA
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 | Jun 14, 2024 | n/a | yes | WALNUT CREEK, CA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Jun 20, 2014 | Jun 14, 2024 | no | WALNUT CREEK, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 8, 1997 | Jun 23, 2014 | no | DENVER, CO|LAGUNA NIGUEL, CA|WALNUT CREEK, CA|WALNUT CREEK, CA|WALNUT CREEK, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | OSAIC WEALTH, INC. | Jun 14, 2024 | Jun 14, 2024 | 0 | Bulk transfer | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SECURITIES AMERICA ADVISORS, INC. | Jun 23, 2014 | Jun 20, 2014 | -3 | Firm change | Other |