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Advisor at OSAIC WEALTH, INC.
PORTLAND, OR
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 | PORTLAND, OR | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Nov 6, 2020 | Jun 14, 2024 | no | PORTLAND, OR | Previous registration |
| KMS FINANCIAL SERVICES, INC | Former SEC adviser | Feb 12, 2010 | Nov 6, 2020 | no | SEATTLE, WA|PORTLAND, OR|SEATTLE, WA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 1, 2008 | Feb 12, 2010 | no | SEATTLE, WA|PORTLAND, OR|SEATTLE, WA | Previous registration |
| A. G. EDWARDS & SONS, INC. | n/a | Jun 28, 2004 | Jan 1, 2008 | no | SEATTLE, WA|ST. LOUIS, MO | Previous registration |
| FIRST CITIZENS INVESTOR SERVICES, INC. | Bd affiliated wealth | Sep 17, 1998 | May 3, 2004 | no | RALEIGH, NC | 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 |
| KMS FINANCIAL SERVICES, INC | SECURITIES AMERICA ADVISORS, INC. | Nov 6, 2020 | Nov 6, 2020 | 0 | Bulk transfer | Ibd to ibd |
| WELLS FARGO ADVISORS | KMS FINANCIAL SERVICES, INC | Feb 12, 2010 | Feb 12, 2010 | 0 | Firm change | Other |
| A. G. EDWARDS & SONS, INC. | WELLS FARGO ADVISORS | Jan 1, 2008 | Jan 1, 2008 | 0 | Bulk transfer | Other |
| FIRST CITIZENS INVESTOR SERVICES, INC. | A. G. EDWARDS & SONS, INC. | May 3, 2004 | Jun 28, 2004 | 56 | Firm change | Other |