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Advisor at OSAIC WEALTH, INC.
Los Gatos, 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 | Los Gatos, CA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Dec 8, 2016 | Jun 14, 2024 | no | LOS GATOS, CA | Previous registration |
| FOOTHILL SECURITIES, INC. | Former SEC adviser | Apr 16, 2003 | Dec 8, 2016 | no | SANTA CRUZ, CA|LOS GATOS, CA|LOS GATOS, CA|LOS GATOS, CA|LOS GATOS, CA|Santa Clara, CA|Los Gatos, CA|SANTA CLARA, 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 |
| FOOTHILL SECURITIES, INC. | SECURITIES AMERICA ADVISORS, INC. | Dec 8, 2016 | Dec 8, 2016 | 0 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 1027:110518:CA:2016-12-07 | Dec 8, 2016 | Dec 8, 2016 | SANTA CLARA, CA | Firm change |