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Advisor at OSAIC WEALTH, INC.
CLAREMONT, 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 | CLAREMONT, CA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Dec 10, 2015 | Jun 14, 2024 | no | CLAREMONT, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Aug 30, 2012 | Dec 24, 2015 | no | CLAREMONT, CA|SAN DIEGO, CA|CLAREMONT, CA | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Apr 27, 2010 | Sep 10, 2012 | no | CLAREMONT, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | May 19, 2010 | no | CLAREMONT, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Jul 8, 1997 | Jun 1, 2009 | no | CLAREMONT, CA|CLARMONT, 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 |
| LPL FINANCIAL LLC | SECURITIES AMERICA ADVISORS, INC. | Dec 24, 2015 | Dec 10, 2015 | -14 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | LPL FINANCIAL LLC | Sep 10, 2012 | Aug 30, 2012 | -11 | Firm change | Other |
| MORGAN STANLEY | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | May 19, 2010 | Apr 27, 2010 | -22 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:110518:CA:2015-12-24 | Dec 24, 2015 | Dec 10, 2015 | CLAREMONT, CA | Firm change |