Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2005 (7 years)2 FIRMS2005 - 2011 (6 years)2 FIRMS2011 - 2020 (9 years)2 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)
Disclosure(s)
View By:
10/16/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/14/2024
IA
Oregon 6/14/2024
B
California 6/14/2024
B
Texas 6/14/2024
B
Idaho 6/14/2024
IA
Texas 6/14/2024
B
Missouri 6/14/2024
B
Washington 6/14/2024
B
Oregon 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)
Hillsboro, OR
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
Hillsboro, OR
Registered with this firm since 6/14/2024
Previous Registration(s)
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IA
 11/06/2020 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) HILLSBORO, OR
B
 11/06/2020 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) Hillsboro, OR
IA
 10/26/2011 - 11/06/2020 KMS FINANCIAL SERVICES, INC (CRD#:3866) Hillsboro, OR
B
 10/27/2011 - 11/06/2020 KMS FINANCIAL SERVICES, INC. (CRD#:3866) Hillsboro, OR
IA
 06/22/2005 - 10/21/2011 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) PORTLAND, OR
B
 06/13/2005 - 10/21/2011 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) PORTLAND, OR
B
 01/06/1998 - 06/10/2005 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 01/06/1998 - 06/10/2005 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.