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Advisor at OSAIC WEALTH, INC.
ROSEVILLE, CA
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 | ROSEVILLE, CA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Dec 9, 2016 | Jun 14, 2024 | no | 3RD FLOOR, SUITE 300, CA|ROSEVILLE, CA|ROSEVILLE, CA | Previous registration |
| ARBOR POINT ADVISORS | Former SEC adviser | Dec 8, 2016 | Dec 9, 2016 | no | LAVISTA, NE | Previous registration |
| FOOTHILL SECURITIES, INC. | Former SEC adviser | Jan 19, 2007 | Dec 8, 2016 | no | Santa Clara, CA|ROSEVILLE, CA|Santa Clara, CA|SANTA CLARA, CA | Previous registration |
| ASSOCIATED SECURITIES CORP. | n/a | Aug 5, 2003 | Jan 25, 2007 | no | ROSEVILLE, CA|ROSEVILLE, CA | Previous registration |
| ASSOCIATED PLANNERS INVESTMENT ADVISORY INC | n/a | May 29, 2003 | Feb 16, 2007 | no | ROSEVILLE, CA | 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 |
| ARBOR POINT ADVISORS | SECURITIES AMERICA ADVISORS, INC. | Dec 9, 2016 | Dec 9, 2016 | 0 | Channel change | Other |
| FOOTHILL SECURITIES, INC. | ARBOR POINT ADVISORS | Dec 8, 2016 | Dec 8, 2016 | 0 | Firm change | Other |
| ASSOCIATED PLANNERS INVESTMENT ADVISORY INC | ASSOCIATED SECURITIES CORP. | Feb 16, 2007 | Aug 5, 2003 | -1,291 | Firm change after gap | Other |
| ASSOCIATED SECURITIES CORP. | FOOTHILL SECURITIES, INC. | Jan 25, 2007 | Jan 19, 2007 | -6 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 165127:110518:NE:2016-12-09 | Dec 9, 2016 | Dec 9, 2016 | LAVISTA, NE | Firm change |
| 1027:165127:CA:2016-12-08 | Dec 8, 2016 | Dec 8, 2016 | SANTA CLARA, CA | Firm change |