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Advisor at OSAIC INSTITUTIONS, INC.
Butler, PA
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 INSTITUTIONS, INC. | Bd affiliated wealth | Oct 14, 2015 | n/a | yes | Butler, PA | Current employment |
| FIRST COMMONWEALTH FINANCIAL ADVISORS, INC. | Former SEC adviser | Sep 24, 2012 | Oct 7, 2013 | no | PITTSBURGH, PA | Previous registration |
| ESSEX NATIONAL SECURITIES, INC. | Former SEC adviser | Jun 7, 2010 | Oct 16, 2015 | no | WEXFORD, PA|MARS, PA|GIBSONIA, PA|MONACA, PA|PITTSBURGH, PA|PITTSBURGH, PA|PITTSBURGH, PA|PITTSBURGH, PA|PITTSBURGH, PA|CLAYSBURG, PA|BEDFORD, PA|ALUM BANK, PA|OSTERBURG, PA|DUNCANSVILLE, PA|WEXFORD, PA|TARENTUM, PA|CLAYSBURG, PA|NAPA, CA|ALLISON PARK, PA|BUTLER, PA|BUTLER, PA|SARVER, PA|NATRONA HEIGHTS, PA|SAXONBURG, PA|RUSSELLTON, PA | Previous registration |
| UVEST FINANCIAL SERVICES GROUP, INC. | n/a | Jun 9, 2009 | Jun 2, 2010 | no | CLAYSBURG, PA|DUNCANSVILLE, PA|ALUM BANK, PA|BEDFORD, PA|OSTERBURG, PA|BELLWOOD, PA|ALTOONA, PA|ALTOONA, PA|HOLLIDAYSBURG, PA|ALTOONA, PA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 9, 2007 | Jun 4, 2009 | no | ALTOONA, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ESSEX NATIONAL SECURITIES, INC. | FIRST COMMONWEALTH FINANCIAL ADVISORS, INC. | Oct 16, 2015 | Sep 24, 2012 | -1,117 | Firm change after gap | Other |
| FIRST COMMONWEALTH FINANCIAL ADVISORS, INC. | OSAIC INSTITUTIONS, INC. | Oct 7, 2013 | Oct 14, 2015 | 737 | Firm change after gap | Other |
| UVEST FINANCIAL SERVICES GROUP, INC. | ESSEX NATIONAL SECURITIES, INC. | Jun 2, 2010 | Jun 7, 2010 | 5 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | UVEST FINANCIAL SERVICES GROUP, INC. | Jun 4, 2009 | Jun 9, 2009 | 5 | Firm change | Other |