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Advisor at OSAIC WEALTH, INC.
Guilford, 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 WEALTH, INC. | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | Guilford, CT | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Oct 31, 2017 | Jun 14, 2024 | no | GUILFORD, CT|Wallingford, CT | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Mar 31, 2006 | Nov 7, 2017 | no | SOUTH WINDSOR, CT|GUILFORD, CT|WALLINGFORD, CT | Previous registration |
| OSAIC FS, INC. | Former SEC adviser | May 5, 2003 | Apr 3, 2006 | no | GUILFORD, CT|GUILFORD, CT | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 5, 2001 | May 5, 2003 | no | NEW HAVEN, CT | 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 |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | SECURITIES AMERICA ADVISORS, INC. | Nov 7, 2017 | Oct 31, 2017 | -7 | Firm change | Other |
| OSAIC FS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Apr 3, 2006 | Mar 31, 2006 | -3 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | OSAIC FS, INC. | May 5, 2003 | May 5, 2003 | 0 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:110518:CT:2017-10-25 | Nov 7, 2017 | Oct 31, 2017 | WALLINGFORD, CT | Firm change |