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Advisor at OSAIC WEALTH, INC.
PROVO, UT
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 | PROVO, UT | Current employment |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Sep 4, 2018 | Sep 1, 2023 | no | LEHI, UT|Lehi, UT|SCOTTSDALE, AZ | Previous registration |
| NEXT FINANCIAL GROUP, INC. | Former SEC adviser | Jan 10, 2005 | Sep 6, 2018 | no | LEHI, UT | Previous registration |
| MONY SECURITIES CORPORATION | n/a | Dec 2, 2003 | Dec 31, 2004 | no | LEHI, UT | Previous registration |
| TRUSTED SECURITIES ADVISORS CORP. | n/a | Oct 4, 2002 | Dec 2, 2003 | no | LEHI, UT | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | May 23, 2000 | Aug 7, 2002 | no | OREM, UT | 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 |
| NEXT FINANCIAL GROUP, INC. | SAGEPOINT FINANCIAL, INC. | Sep 6, 2018 | Sep 4, 2018 | -2 | Firm change | RIA to ibd |
| MONY SECURITIES CORPORATION | NEXT FINANCIAL GROUP, INC. | Dec 31, 2004 | Jan 10, 2005 | 10 | Firm change | Other |
| TRUSTED SECURITIES ADVISORS CORP. | MONY SECURITIES CORPORATION | Dec 2, 2003 | Dec 2, 2003 | 0 | Firm change | Other |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | TRUSTED SECURITIES ADVISORS CORP. | Aug 7, 2002 | Oct 4, 2002 | 58 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 46214:133763:UT:2018-09-06 | Sep 6, 2018 | Sep 4, 2018 | LEHI, UT | Firm change |