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Advisor at OSAIC WEALTH, INC.
GLENWOOD CITY, WI
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 | Nov 2, 2018 | n/a | yes | GLENWOOD CITY, WI | Current employment |
| SIGNATOR INVESTORS, INC. | Former SEC adviser | May 13, 2016 | Nov 2, 2018 | no | NEW RICHMOND, WI|CINCINNATI, OH|GOLD RIVER, CA|NASHVILLE, TN | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | Bd affiliated wealth | Sep 4, 2009 | May 13, 2016 | no | NEW RICHMOND, WI|NEW RICHMOND, WI|CINCINNATI, OH | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, INC. | n/a | May 26, 2006 | Sep 4, 2009 | no | NEW RICHMOND, WI|NEW RICHMOND, WI|NEW RICHMOND, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SIGNATOR INVESTORS, INC. | OSAIC WEALTH, INC. | Nov 2, 2018 | Nov 2, 2018 | 0 | Bulk transfer | Ibd to ibd |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | SIGNATOR INVESTORS, INC. | May 13, 2016 | May 13, 2016 | 0 | Bulk transfer | Other |
| TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | Sep 4, 2009 | Sep 4, 2009 | 0 | Bulk transfer | Other |