DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at OSAIC WEALTH, INC.
GREEN BAY, WI
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 | Jan 19, 2024 | n/a | yes | GREEN BAY, WI | Current employment |
| WOODBURY FINANCIAL SERVICES, INC. | Former SEC adviser | Jun 22, 2021 | Jan 19, 2024 | no | DE PERE, WI | Previous registration |
| PRIVATE CLIENT SERVICES, LLC | Bd affiliated wealth | Jul 13, 2018 | Jun 22, 2021 | no | Appleton, WI|LOUISVILLE, KY | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Feb 27, 2018 | Jun 25, 2018 | no | APPLETON, WI|LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Feb 27, 2018 | Jun 25, 2018 | no | APPLETON, WI|APPLETON, WI|APPLETON, WI | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Feb 22, 2012 | Dec 31, 2015 | no | LOS ANGELES, CA|DENVER, CO|LOS ANGELES, CA | Previous registration |
| INVESTMENT CENTERS OF AMERICA, INC. | Former SEC adviser | Feb 22, 2012 | Jun 25, 2018 | no | APPLETON, WI|APPLETON, WI | Previous registration |
| SII INVESTMENTS, INC. | Former SEC adviser | Dec 1, 2006 | Jun 25, 2018 | no | APPLETON, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WOODBURY FINANCIAL SERVICES, INC. | OSAIC WEALTH, INC. | Jan 19, 2024 | Jan 19, 2024 | 0 | Bulk transfer | Ibd to ibd |
| PRIVATE CLIENT SERVICES, LLC | WOODBURY FINANCIAL SERVICES, INC. | Jun 22, 2021 | Jun 22, 2021 | 0 | Firm change | Ibd to ibd |
| INVEST FINANCIAL CORPORATION | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Jun 25, 2018 | Feb 27, 2018 | -118 | Channel change | Other |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | INVEST FINANCIAL CORPORATION | Jun 25, 2018 | Feb 27, 2018 | -118 | Firm change after gap | Other |
| SII INVESTMENTS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Jun 25, 2018 | Feb 22, 2012 | -2,315 | Channel change | Other |
| INVESTMENT CENTERS OF AMERICA, INC. | INVEST FINANCIAL CORPORATION | Jun 25, 2018 | Feb 27, 2018 | -118 | Channel change | Other |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | INVESTMENT CENTERS OF AMERICA, INC. | Dec 31, 2015 | Feb 22, 2012 | -1,408 | Channel change | Other |