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Advisor at OSAIC WEALTH, INC.
STRATFORD, CT
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 | STRATFORD, CT | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Oct 24, 2017 | Jun 14, 2024 | no | Stratford, CT | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Apr 3, 2006 | Oct 27, 2017 | no | SOUTH WINDSOR, CT|STRATFORD, CT | Previous registration |
| OSAIC FS, INC. | Former SEC adviser | Mar 14, 2003 | Apr 3, 2006 | no | STRATFORD, CT | Previous registration |
| POLARIS ADVISORY SERVICES INC | n/a | Jan 27, 1998 | Mar 25, 2003 | no | TRUMBULL, CT | 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 |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | SECURITIES AMERICA ADVISORS, INC. | Oct 27, 2017 | Oct 24, 2017 | -3 | Firm change | Other |
| OSAIC FS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Apr 3, 2006 | Apr 3, 2006 | 0 | Firm change | Other |
| POLARIS ADVISORY SERVICES INC | OSAIC FS, INC. | Mar 25, 2003 | Mar 14, 2003 | -11 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:110518:CT:2017-10-25 | Oct 27, 2017 | Oct 24, 2017 | STRATFORD, CT | Firm change |