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Advisor at OSAIC WEALTH, INC.
LAGRANDE, OR
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 | LAGRANDE, OR | Current employment |
| ARBOR POINT ADVISORS | Former SEC adviser | Nov 10, 2020 | Apr 14, 2022 | no | La Grande, OR | Previous registration |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Nov 6, 2020 | Jun 14, 2024 | no | LA GRANDE, OR | Previous registration |
| KMS FINANCIAL SERVICES, INC | Former SEC adviser | Apr 1, 2008 | Nov 6, 2020 | no | LAGRANDE, OR|SEATTLE, WA|SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | ARBOR POINT ADVISORS | Jun 14, 2024 | Nov 10, 2020 | -1,312 | Channel change | Ibd to ibd |
| ARBOR POINT ADVISORS | OSAIC WEALTH, INC. | Apr 14, 2022 | Jun 14, 2024 | 792 | Channel change | Ibd to ibd |
| KMS FINANCIAL SERVICES, INC | SECURITIES AMERICA ADVISORS, INC. | Nov 6, 2020 | Nov 6, 2020 | 0 | Bulk transfer | Ibd to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:165127:OR:2024-06-14 | Jun 14, 2024 | Nov 10, 2020 | LA GRANDE, OR | Firm change after gap |