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Advisor at ROSSBY FINANCIAL, LLC
The Woodlands, TX | MELBOURNE, FL
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 |
|---|---|---|---|---|---|---|
| ROSSBY FINANCIAL, LLC | Independent wealth | Apr 30, 2025 | n/a | yes | The Woodlands, TX|MELBOURNE, FL | Current employment |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Jun 14, 2024 | May 1, 2025 | no | THE WOODLANDS, TX | Previous registration |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Oct 14, 2014 | Jun 14, 2024 | no | HOUSTON, TX|THE WOODLANDS, TX | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 27, 2008 | Oct 22, 2014 | no | CEDAR PARK, TX|AUSTIN, TX|AUSTIN, TX|DICKINSON, TX|HOUSTON, TX|AUSTIN, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|AUSTIN, TX|HOUSTON, TX|SUGARLAND, TX|HOUSTON, TX|HOUSTON, TX|DICKINSON, TX|KATY, TX|FREEPORT, TX|HOUSTON, TX|RICHMOND, TX|AUSTIN, TX|HOUSTON, TX|MARBLE FALLS, TX|BROWNSVILLE, TX|CORPUS CHRISTI, TX|AUSTIN, TX|HOUSTON, TX|LAREDO, TX|HOUSTON, TX|CEDAR PARK, TX|BROWNSVILLE, TX|BROWNSVILLE, TX|MCALLEN, TX|ROCKPORT, TX|AUSTIN, TX|HOUSTON, TX|THE WOODLANDS, TX|HOUSTON, TX|AUSTIN, TX|HOUSTON, TX|DICKINSON, TX|AUSTIN, TX|CEDAR PARK, TX | Previous registration |
| IFMG SECURITIES, INC. | n/a | Feb 16, 2007 | Jan 31, 2008 | no | LAREDO, TX|CORPUS CHRISTI, TX|BROWNSVILLE, TX|THE WOODLANDS, TX|CEDAR PARK, TX|AUSTIN, TX|MARBLE FALLS, TX|AUSTIN, TX|AUSTIN, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|DICKINSON, TX|FREEPORT, TX|GALVESTON, TX|KATY, TX|LAKE JACKSON, TX|LEAGUE CITY, TX|RICHMOND, TX|SUGARLAND, TX|BROWNSVILLE, TX | Previous registration |
| AMEGY INVESTMENTS, INC. | Former SEC adviser | Mar 31, 2005 | Oct 11, 2005 | no | HOUSTON, TX | Previous registration |
| BBVA COMPASS INVESTMENT SOLUTIONS, INC | n/a | Jul 22, 2002 | Feb 4, 2005 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | ROSSBY FINANCIAL, LLC | May 1, 2025 | Apr 30, 2025 | -1 | Firm change | Ibd to RIA |
| 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. | Oct 22, 2014 | Oct 14, 2014 | -8 | Firm change | Other |
| IFMG SECURITIES, INC. | LPL FINANCIAL LLC | Jan 31, 2008 | May 27, 2008 | 117 | Firm change | Other |
| AMEGY INVESTMENTS, INC. | IFMG SECURITIES, INC. | Oct 11, 2005 | Feb 16, 2007 | 493 | Firm change after gap | Other |
| BBVA COMPASS INVESTMENT SOLUTIONS, INC | AMEGY INVESTMENTS, INC. | Feb 4, 2005 | Mar 31, 2005 | 55 | Firm change | Other |