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Advisor at OSAIC INSTITUTIONS, INC.
Stonington, CT
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 INSTITUTIONS, INC. | Bd affiliated wealth | Oct 7, 2021 | n/a | yes | Stonington, CT | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Apr 26, 2019 | Oct 5, 2021 | no | STONINGTON, CT | Previous registration |
| OSAIC INSTITUTIONS, INC. | Bd affiliated wealth | Nov 20, 2013 | Apr 26, 2019 | no | WETHERSFIELD, CT|PAWCATUCK, CT|MERIDEN, CT|MERIDEN, CT|MERIDEN, CT|MERIDEN, CT|Stonington, CT|MERIDEN, CT | Previous registration |
| HARVEST CAPITAL ADVISORS, LLC | n/a | Jul 5, 2012 | Nov 20, 2013 | no | PAWCATUCK, CT|AVON, CT|PAWCATUCK, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | OSAIC INSTITUTIONS, INC. | Oct 5, 2021 | Oct 7, 2021 | 2 | Firm change | Ibd to ibd |
| OSAIC INSTITUTIONS, INC. | SECURITIES AMERICA ADVISORS, INC. | Apr 26, 2019 | Apr 26, 2019 | 0 | Firm change | Ibd to ibd |
| HARVEST CAPITAL ADVISORS, LLC | OSAIC INSTITUTIONS, INC. | Nov 20, 2013 | Nov 20, 2013 | 0 | Firm change | Other |