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THOMAS JOSEPH DUFFNER
CRD#: 1433578
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 12400 S. HARLEM AVE
STE 205
PALOS HEIGHTS, IL 60463
Registration History
199019952000200520102015202020252 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2024 (17 years)2 FIRMS2024 - Present (1 year)BMONY SECURITIES CORPORATION (CRD# 4386)1986 - 2005 (19 years)IAMONY SECURITIES CORPORATION (CRD# 4386)2000 - 2005 (5 years)
License(s)

State Registrations

B
Arizona 10/22/2024

B
Kansas 1/19/2024

B
Arkansas 1/19/2024

B
Michigan 1/19/2024

B
California 1/19/2024

B
Missouri 1/19/2024

B
Colorado 1/19/2024

B
South Carolina 1/19/2024

B
Florida 1/19/2024

B
Texas 1/19/2024

B
Illinois 1/19/2024

IA
Texas 1/19/2024

IA
Illinois 1/19/2024

B
Washington 4/15/2024

B
Indiana 1/19/2024

B
Wisconsin 1/19/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
12400 S. HARLEM AVE STE 205, PALOS HEIGHTS, IL 60463
Registered with this firm since 1/19/2024

B
OSAIC WEALTH, INC. (CRD#:23131)
12400 S. HARLEM AVE STE 205, PALOS HEIGHTS, IL 60463
Registered with this firm since 1/19/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/09/2006 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) PALOS HEIGHTS, IL
B
06/09/2006 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) PALOS HEIGHTS, IL
IA
06/01/2005 - 06/16/2006 AXA ADVISORS, LLC (CRD#:6627) OAK BROOK, IL
B
06/01/2005 - 06/16/2006 AXA ADVISORS, LLC (CRD#:6627) OAK BROOK, IL
IA
01/24/2000 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) OAKBROOK, IL
B
02/03/1986 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.