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Advisor at OSAIC ADVISORY SERVICES, LLC
LA JOLLA, CA | SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| COSMOS WEALTH, LLC | No RAUM reported | Sep 8, 2026 | n/a | yes | LA JOLLA, CA | Current employment |
| OSAIC ADVISORY SERVICES, LLC | Bd affiliated wealth | Nov 8, 2024 | n/a | yes | SAN DIEGO, CA | Current employment |
| ARBOR POINT ADVISORS | Former SEC adviser | Jan 12, 2015 | Nov 8, 2024 | no | SAN DIEGO, CA|SAN DIEGO, CA|SAN DIEGO, CA|SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Jan 12, 2015 | Dec 28, 2015 | no | SAN DIEGO, CA | Previous registration |
| THE RETIREMENT GROUP, LLC | Former SEC adviser | Dec 3, 2008 | Jan 12, 2015 | no | SAN DIEGO, CA | Previous registration |
| SSN ADVISORY, INC. | Former SEC adviser | Sep 23, 2008 | Dec 2, 2008 | no | SAN DIEGO, CA | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | Oct 16, 2003 | Jan 12, 2006 | no | POWAY, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Feb 11, 2003 | Oct 13, 2003 | no | RANCHO SANTA FE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ARBOR POINT ADVISORS | OSAIC ADVISORY SERVICES, LLC | Nov 8, 2024 | Nov 8, 2024 | 0 | Bulk transfer | Ibd to ibd |
| SECURITIES AMERICA ADVISORS, INC. | ARBOR POINT ADVISORS | Dec 28, 2015 | Jan 12, 2015 | -350 | Channel change | Other |
| THE RETIREMENT GROUP, LLC | SECURITIES AMERICA ADVISORS, INC. | Jan 12, 2015 | Jan 12, 2015 | 0 | Firm change | Other |
| SSN ADVISORY, INC. | THE RETIREMENT GROUP, LLC | Dec 2, 2008 | Dec 3, 2008 | 1 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | SSN ADVISORY, INC. | Jan 12, 2006 | Sep 23, 2008 | 985 | Firm change after gap | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CITICORP INVESTMENT SERVICES | Oct 13, 2003 | Oct 16, 2003 | 3 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:165127:CA:2015-12-28 | Dec 28, 2015 | Jan 12, 2015 | SAN DIEGO, CA | Firm change after gap |
| 148296:110518:CA:2015-01-12 | Jan 12, 2015 | Jan 12, 2015 | SAN DIEGO, CA | Firm change |