DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at OSAIC INSTITUTIONS, INC.
Fairfield, 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 INSTITUTIONS, INC. | Bd affiliated wealth | Jan 7, 2019 | n/a | yes | Fairfield, CT | Current employment |
| INVESTMARK ADVISORY GROUP LLC | Independent wealth | Sep 13, 2018 | Jan 2, 2019 | no | SHELTON, CT | Previous registration |
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Jan 3, 2018 | Sep 13, 2018 | no | Shelton, CT|Stamford, CT | Previous registration |
| OSAIC INSTITUTIONS, INC. | Bd affiliated wealth | Aug 13, 2008 | Nov 27, 2017 | no | BRIDGEPORT, CT|WESTPORT, CT|WESTPORT, CT|RIDGEFIELD, CT|TRUMBULL, CT|FAIRFIELD, CT|FAIRFIELD, CT|WESTON, CT|WESTPORT, CT|ROWAYTON, CT | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2007 | Aug 6, 2008 | no | BRIDGEPORT, CT|WESTPORT, CT|STAMFORD, CT|WESTPORT, CT | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | Aug 30, 2006 | May 29, 2007 | no | WESTPORT, CT|WESTPORT, CT | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jan 22, 2001 | Aug 17, 2006 | no | TRUMBULL, CT|TRUMBULL, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVESTMARK ADVISORY GROUP LLC | OSAIC INSTITUTIONS, INC. | Jan 2, 2019 | Jan 7, 2019 | 5 | Firm change | RIA to ibd |
| COMMONWEALTH FINANCIAL NETWORK | INVESTMARK ADVISORY GROUP LLC | Sep 13, 2018 | Sep 13, 2018 | 0 | Firm change | Ibd to RIA |
| OSAIC INSTITUTIONS, INC. | COMMONWEALTH FINANCIAL NETWORK | Nov 27, 2017 | Jan 3, 2018 | 37 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | OSAIC INSTITUTIONS, INC. | Aug 6, 2008 | Aug 13, 2008 | 7 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | CITIGROUP GLOBAL MARKETS INC. | May 29, 2007 | May 29, 2007 | 0 | Bulk transfer | Other |
| CHASE INVESTMENT SERVICES CORP. | CITICORP INVESTMENT SERVICES | Aug 17, 2006 | Aug 30, 2006 | 13 | Firm change | Other |