DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Germaine C Cordes
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Germaine Corinne Oswald
At current firm
2 y
since Jun 14, 2024
In the industry
24 y
since Feb 26, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jun 14, 2024 · Pleasanton, Ca
- Securities America Advisors, Inc. formerDec 8, 2016 to Jun 14, 2024 · Livermore, Ca
- Capital Insight Partners, LLC formerJan 2, 2014 to Jan 7, 2016 · Livermore, Ca
- Foothill Securities, Inc. formerJan 26, 2009 to Dec 8, 2016 · Livermore, Ca
- MML Investors Services, LLC BD affiliatedJul 1, 2004 to Feb 3, 2009 · Livermore, Ca
- Osaic Fa, Inc. formerMar 14, 2002 to Jul 6, 2004 · San Ramon, Ca
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Osaic Wealth, Inc.left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- Foothill Securities, Inc. to Capital Insight Partners, LLCleft Dec 8, 2016, registered Jan 2, 2014 (-1071 days) · Other · moved with a team
- Capital Insight Partners, LLC to Securities America Advisors, Inc.left Jan 7, 2016, registered Dec 8, 2016 (336 days) · Other
- MML Investors Services, LLC to Foothill Securities, Inc.left Feb 3, 2009, registered Jan 26, 2009 (-8 days) · Other
- Osaic Fa, Inc. to MML Investors Services, LLCleft Jul 6, 2004, registered Jul 1, 2004 (-5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address