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Advisor at OSAIC WEALTH, INC.
TAMPA, FL
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 | Nov 2, 2018 | n/a | yes | TAMPA, FL | Current employment |
| SIGNATOR INVESTORS, INC. | Former SEC adviser | May 13, 2016 | Nov 2, 2018 | no | BOSTON, MA|TAMPA, FL|CARMEL, IN | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | Bd affiliated wealth | Feb 12, 2007 | May 13, 2016 | no | TAMPA, FL|ST. PETERSBURG, FL|CARMEL, IN|TAMPA, FL|LUTZ, FL | Previous registration |
| ONEAMERICA SECURITIES, INC. | Bd affiliated wealth | Mar 29, 2004 | Feb 16, 2007 | no | Tampa, FL|TAMPA, FL | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Dec 12, 1990 | Feb 10, 2004 | no | TAMPA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SIGNATOR INVESTORS, INC. | OSAIC WEALTH, INC. | Nov 2, 2018 | Nov 2, 2018 | 0 | Bulk transfer | Ibd to ibd |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | SIGNATOR INVESTORS, INC. | May 13, 2016 | May 13, 2016 | 0 | Bulk transfer | Other |
| ONEAMERICA SECURITIES, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | Feb 16, 2007 | Feb 12, 2007 | -4 | Firm change | Other |
| NEW ENGLAND SECURITIES CORPORATION | ONEAMERICA SECURITIES, INC. | Feb 10, 2004 | Mar 29, 2004 | 48 | Firm change | Other |