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DOUGLAS HARRY BARTON
DOUG BARTON
CRD#: 1494345
IA
Investment Adviser
B
Broker
OSAIC ADVISORY SERVICES, LLCCRD#: 171070 5875 Lehman Dr
Suite 200
Colorado Springs, CO 80918
OSAIC WEALTH, INC.CRD#: 23131 5875 Lehman Drive
Suite 200
Colorado Springs, CO 80918
Registration History
199019952000200520102015202020252 FIRMS2005 - 2023 (17 years)IAOSAIC ADVISORY SERVICES, LLC (CRD# 171070)2023 - Present (1 year)BOSAIC WEALTH, INC. (CRD# 23131)2024 - Present (<1 year)BTRIAD ADVISORS LLC (CRD# 25803)2023 - 2024 (1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)1988 - 2005 (16 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)1988 - 2002 (13 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)1986 - 1988 (2 years)
Disclosure(s)
View By:
8/26/2013
Customer Dispute
Settled
1/13/2012
Customer Dispute
Denied
License(s)

State Registrations

IA
Arizona 5/24/2023

B
Minnesota 8/23/2024

B
Arizona 8/23/2024

B
Mississippi 8/23/2024

B
Arkansas 8/23/2024

IA
Nebraska 5/18/2023

IA
California 5/19/2023

B
Nebraska 8/23/2024

B
California 8/23/2024

B
New Mexico 8/23/2024

IA
Colorado 5/18/2023

B
North Carolina 8/23/2024

B
Colorado 8/23/2024

IA
Ohio 5/21/2023

B
Connecticut 8/23/2024

B
Ohio 8/23/2024

IA
Florida 5/22/2023

IA
South Carolina 5/23/2023

B
Florida 8/23/2024

B
South Carolina 8/23/2024

IA
Idaho 5/18/2023

B
South Dakota 8/23/2024

B
Idaho 8/23/2024

B
Tennessee 12/13/2024

IA
Illinois 5/19/2023

IA
Texas 5/29/2023

IA
Kansas 5/19/2023

B
Texas 8/23/2024

B
Kansas 8/23/2024

IA
Virginia 5/19/2023

IA
Michigan 5/22/2023

B
Virginia 8/23/2024

B
Michigan 8/23/2024

IA
Washington 5/19/2023

IA
Minnesota 5/23/2023

B
Wisconsin 8/23/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC ADVISORY SERVICES, LLC (CRD#:171070)
5875 Lehman Dr Suite 200, Colorado Springs, CO 80918
Registered with this firm since 5/18/2023

B
OSAIC WEALTH, INC. (CRD#:23131)
5875 Lehman Drive Suite 200, Colorado Springs, CO 80918
Registered with this firm since 8/23/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/18/2023 - 08/23/2024 TRIAD ADVISORS LLC (CRD#:25803) Colorado Springs, CO
IA
10/10/2005 - 05/18/2023 SPC (CRD#:110692) COLORADO SPRINGS, CO
B
07/18/2005 - 05/18/2023 PARKLAND SECURITIES, LLC (CRD#:115368) COLORADO SPRINGS, CO
B
08/16/1988 - 07/14/2005 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
B
08/16/1988 - 01/01/2002 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
05/29/1986 - 12/20/1988 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137)
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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.