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Advisor at OSAIC ADVISORY SERVICES, LLC
MOUNTAIN VIEW, 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 ADVISORY SERVICES, LLC | Bd affiliated wealth | Jan 1, 2026 | n/a | yes | MOUNTAIN VIEW, CA | Current employment |
| ARBOR POINT ADVISORS | Former SEC adviser | Nov 6, 2020 | Nov 8, 2024 | no | MOUNTAIN VIEW, CA | Previous registration |
| KMS FINANCIAL SERVICES, INC | Former SEC adviser | Mar 16, 2017 | Nov 6, 2020 | no | Mountain View, CA | Previous registration |
| SOWELL MANAGEMENT | Independent wealth | Nov 14, 2016 | Mar 17, 2017 | no | San Jose, CA|NORTH LITTLE ROCK, AR | Previous registration |
| PRIVATE CLIENT ADVISORS | Former SEC adviser | Oct 10, 2011 | Mar 24, 2012 | no | SAN JOSE, CA | Previous registration |
| CONCERT CAPITAL MANAGEMENT | Former SEC adviser | Oct 10, 2011 | Mar 24, 2012 | no | SAN JOSE, CA | Previous registration |
| CONCERT WEALTH MANAGEMENT | Former SEC adviser | Sep 11, 2008 | Jun 20, 2017 | no | SAN JOSE, CA|San Francisco, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ARBOR POINT ADVISORS | OSAIC ADVISORY SERVICES, LLC | Nov 8, 2024 | Jan 1, 2026 | 419 | Bulk transfer | Ibd to ibd |
| KMS FINANCIAL SERVICES, INC | ARBOR POINT ADVISORS | Nov 6, 2020 | Nov 6, 2020 | 0 | Channel change | Ibd to ibd |
| CONCERT WEALTH MANAGEMENT | CONCERT CAPITAL MANAGEMENT | Jun 20, 2017 | Oct 10, 2011 | -2,080 | Firm change after gap | Other |
| SOWELL MANAGEMENT | KMS FINANCIAL SERVICES, INC | Mar 17, 2017 | Mar 16, 2017 | -1 | Firm change | Other |
| CONCERT CAPITAL MANAGEMENT | PRIVATE CLIENT ADVISORS | Mar 24, 2012 | Oct 10, 2011 | -166 | Channel change | Other |
| PRIVATE CLIENT ADVISORS | SOWELL MANAGEMENT | Mar 24, 2012 | Nov 14, 2016 | 1,696 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 3866:165127:CA:2020-11-06 | Nov 6, 2020 | Nov 6, 2020 | MOUNTAIN VIEW, CA | Firm change |