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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

THOMAS J CURTIN

Advisor at OSAIC ADVISORY SERVICES, LLC

WINDSOR, CT

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Search this name across graphsid dfx:ria:35f34d70-27c1-3364-bdde-837dcc61f4d2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2014 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 22, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 22, 2007
First registration: Feb 10, 2014
Dual registered: yes, broker-dealer
Other names: THOMAS JOSEPH CURTIN
IAPD individual key: 5243482

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	n/a	yes	WINDSOR, CT	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Jun 8, 2021	Nov 8, 2024	no	WINDSOR, CT	Previous registration
HAMMOND ILES WEALTH ADVISORS	Independent wealth	Jan 10, 2020	May 28, 2021	no	WETHERSFIELD, CT\|SOUTH BURLINGTON, VT	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jul 11, 2018	Dec 4, 2019	no	WAVERLY, IA\|Norwich, CT	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 3, 2017	Apr 20, 2018	no	WEST SPRINGFIELD, MA\|Springfield, MA\|FARMINGTON, CT\|SOUTH HADLEY, MA\|HOLYOKE, MA\|WEST SPRINGFIELD, MA\|CHICOPEE, MA\|SPRINGFIELD, MA	Previous registration
WELLESLEY ASSET MANAGEMENT, INC.	Mixed wealth	Feb 10, 2014	Jan 3, 2017	no	PORTSMOUTH, NH\|Wethersfield, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ARBOR POINT ADVISORS	OSAIC ADVISORY SERVICES, LLC	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
HAMMOND ILES WEALTH ADVISORS	ARBOR POINT ADVISORS	May 28, 2021	Jun 8, 2021	11	Firm change	RIA to ibd
CUNA BROKERAGE SERVICES, INC.	HAMMOND ILES WEALTH ADVISORS	Dec 4, 2019	Jan 10, 2020	37	Firm change	Ibd to RIA
LPL FINANCIAL LLC	CUNA BROKERAGE SERVICES, INC.	Apr 20, 2018	Jul 11, 2018	82	Firm change	RIA to RIA
WELLESLEY ASSET MANAGEMENT, INC.	LPL FINANCIAL LLC	Jan 3, 2017	May 3, 2017	120	Firm change	Other

Relationships

Registered with (6)

→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Jun 8, 2021 to Nov 8, 2024factForm ADV
→ HAMMOND ILES WEALTH ADVISORSRegistered adviserregistration: previous registration
Jan 10, 2020 to May 28, 2021factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jul 11, 2018 to Dec 4, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 3, 2017 to Apr 20, 2018factForm ADV
→ WELLESLEY ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 10, 2014 to Jan 3, 2017factForm ADV

Dated events

No dated event names this entity yet.