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Advisor at OSAIC INSTITUTIONS, INC.
Brea, 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 INSTITUTIONS, INC. | Bd affiliated wealth | Apr 14, 2023 | n/a | yes | Brea, CA | Current employment |
| CUSO FINANCIAL SERVICES, L.P. | Former SEC adviser | Jan 16, 2023 | Apr 14, 2023 | no | LA HABRA, CA|Anaheim, CA|Anaheim, CA|SAN DIEGO, CA | Previous registration |
| WESCOM FINANCIAL SERVICES, LLC | Former SEC adviser | May 12, 2015 | Feb 6, 2023 | no | ORANGE, CA|FULLERTON, CA|LA HABRA, CA|FULLERTON, CA|DOWNEY, CA|BUENA PARK, CA|LA HABRA, CA|Anaheim, CA|Anaheim, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CUSO FINANCIAL SERVICES, L.P. | OSAIC INSTITUTIONS, INC. | Apr 14, 2023 | Apr 14, 2023 | 0 | Firm change | Ibd to ibd |
| WESCOM FINANCIAL SERVICES, LLC | CUSO FINANCIAL SERVICES, L.P. | Feb 6, 2023 | Jan 16, 2023 | -21 | Firm change | RIA to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 125650:42132:CA:2023-02-06 | Feb 6, 2023 | Jan 16, 2023 | ANAHEIM, CA | Firm change |