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Detailed Report
PETER STEVEN CAIN
CRD#: 1279294
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 250 E HARBORTOWN DRIVE
# 1212
DETROIT, MI 48207
Registration History
1985199019952000200520102015202020252 FIRMS2024 - Present (1 year)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2006 - 2024 (17 years)BAXA ADVISORS, LLC (CRD# 6627)2005 - 2006 (<1 year)BMONY SECURITIES CORPORATION (CRD# 4386)1988 - 2005 (17 years)BTHE MUTUAL LIFE INSURANCE COMP... (CRD# 2873)1988 - 1990 (2 years)BCONNECTICUT MUTUAL FINANCIAL S... (CRD# 173)1988 - 1988 (<1 year)BFORTH FINANCIAL SECURITIES, CO... (CRD# 14363)1984 - 1988 (3 years)IAWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2010 - 2024 (13 years)
Disclosure(s)
View By:
8/12/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/19/2024
B
Michigan 1/19/2024
B
California 1/19/2024
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Michigan 1/19/2024
B
Colorado 1/19/2024
B
Nevada 1/19/2024
B
Connecticut 1/19/2024
B
North Carolina 1/19/2024
B
Florida 1/19/2024
B
Ohio 1/19/2024
IA
Florida 1/19/2024
B
South Dakota 1/19/2024
B
Georgia 1/19/2024
B
Tennessee 1/19/2024
B
Illinois 1/19/2024
B
Texas 1/19/2024
B
Indiana 1/19/2024
IA
Texas 6/4/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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OSAIC WEALTH, INC. (CRD#:23131)
250 E HARBORTOWN DRIVE # 1212, DETROIT, MI 48207
11604 SHADY BLOSSOM DR., FT. MYERS, FL 33913
Registered with this firm since 1/19/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
250 E HARBORTOWN DRIVE # 1212, DETROIT, MI 48207
11604 SHADY BLOSSOM DR., FT. MYERS, FL 33913
Registered with this firm since 1/19/2024
Previous Registration(s)
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IA
 08/26/2010 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) DETROIT, MI
B
 02/06/2006 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) DETROIT, MI
B
 06/01/2005 - 02/21/2006 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 06/24/1988 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
B
 06/24/1988 - 10/15/1990 THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (CRD#:2873) NEW YORK, NY
B
 05/13/1988 - 08/15/1988 CONNECTICUT MUTUAL FINANCIAL SERVICES, INC. (CRD#:173)
B
 07/17/1984 - 05/23/1988 FORTH FINANCIAL SECURITIES, CORPORATION (CRD#:14363)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.