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Advisor at OSAIC WEALTH, INC.
MILWAUKEE, 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 | Sep 1, 2023 | n/a | yes | MILWAUKEE, WI | Current employment |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Feb 9, 2018 | Sep 1, 2023 | no | MILWAUKEE, WI | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | Feb 15, 2018 | no | Wauwatosa, WI | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | Milwaukee, WI | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Mar 26, 2013 | Jan 2, 2015 | no | BROOKFIELD, WI | Previous registration |
| BMO HARRIS FINANCIAL ADVISORS, INC | Former SEC adviser | Aug 1, 2012 | Mar 4, 2013 | no | CHICAGO, IL | Previous registration |
| M&I FINANCIAL ADVISORS, INC. | Former SEC adviser | Apr 19, 2012 | Aug 1, 2012 | no | MILWAUKEE, WI | Previous registration |
| M&I INVESTMENT MANAGEMENT CORP. | Former SEC adviser | Jul 16, 2010 | Apr 18, 2012 | no | MILWAUKEE, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAGEPOINT FINANCIAL, INC. | OSAIC WEALTH, INC. | Sep 1, 2023 | Sep 1, 2023 | 0 | Bulk transfer | Ibd to ibd |
| MML INVESTORS SERVICES, LLC | SAGEPOINT FINANCIAL, INC. | Feb 15, 2018 | Feb 9, 2018 | -6 | Firm change | Other |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | MSI FINANCIAL SERVICES, INC. | Jan 2, 2015 | Jan 2, 2015 | 0 | Bulk transfer | Other |
| BMO HARRIS FINANCIAL ADVISORS, INC | NEW ENGLAND SECURITIES CORPORATION | Mar 4, 2013 | Mar 26, 2013 | 22 | Firm change | Other |
| M&I FINANCIAL ADVISORS, INC. | BMO HARRIS FINANCIAL ADVISORS, INC | Aug 1, 2012 | Aug 1, 2012 | 0 | Channel change | Other |
| M&I INVESTMENT MANAGEMENT CORP. | M&I FINANCIAL ADVISORS, INC. | Apr 18, 2012 | Apr 19, 2012 | 1 | Channel change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10409:133763:WI:2018-01-19 | Feb 15, 2018 | Feb 9, 2018 | WAUWATOSA, WI | Firm change |