Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JON TERRY TUBBS
CRD#: 1279806
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 KNOXVILLE, TN
Registration History
1985199019952000200520102015202020252 FIRMS2016 - 2024 (7 years)2 FIRMS2024 - Present (<1 year)BWALL STREET FINANCIAL GROUP, INC. (CRD# 35830)1997 - 2016 (19 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1997 - 1997 (<1 year)BKEOGLER, MORGAN & COMPANY, INC. (CRD# 16546)1995 - 1997 (2 years)BMARINER FINANCIAL SERVICES, INC. (CRD# 8292)1992 - 1995 (2 years)BPLANNED INVESTMENTS INC. (CRD# 5066)1992 - 1992 (<1 year)BFIRST AMERICAN NATIONAL SECURI... (CRD# 10111)1984 - 1992 (7 years)IAWALL STREET FINANCIAL GROUP, INC (CRD# 35830)2005 - 2016 (11 years)
License(s)

State Registrations

B
Alabama 9/3/2024
B
North Carolina 6/14/2024
B
Colorado 6/14/2024
B
Pennsylvania 6/14/2024
B
Florida 6/14/2024
B
South Carolina 6/14/2024
B
Georgia 6/14/2024
B
Tennessee 6/14/2024
B
Indiana 6/14/2024
IA
Tennessee 6/14/2024
B
Kentucky 6/14/2024
B
Texas 6/14/2024
B
Michigan 6/14/2024
B
Virginia 6/14/2024
B
New Jersey 6/14/2024
B
Washington 6/14/2024
B
New York 6/14/2024

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)
IA
OSAIC WEALTH, INC. (CRD#:23131)
KNOXVILLE, TN
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
KNOXVILLE, TN
Registered with this firm since 6/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/23/2016 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) KNOXVILLE, TN
B
 09/23/2016 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) KNOXVILLE, TN
IA
 01/12/2005 - 09/23/2016 WALL STREET FINANCIAL GROUP, INC (CRD#:35830) KNOXVILLE, TN
B
 02/26/1997 - 09/23/2016 WALL STREET FINANCIAL GROUP, INC. (CRD#:35830) KNOXVILLE, TN
B
 01/31/1997 - 03/03/1997 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
 01/13/1995 - 01/31/1997 KEOGLER, MORGAN & COMPANY, INC. (CRD#:16546) ATLANTA, GA
B
 03/17/1992 - 01/10/1995 MARINER FINANCIAL SERVICES, INC. (CRD#:8292) LARGO, FL
B
 02/12/1992 - 03/17/1992 PLANNED INVESTMENTS INC. (CRD#:5066) ATLANTA, GA
B
 07/10/1984 - 02/14/1992 FIRST AMERICAN NATIONAL SECURITIES, INC. (CRD#:10111) DULUTH, GA
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.