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Detailed Report
THOMAS RAYMOND MORIARTY
CRD#: 1519354
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 3637 4th STREET N
STE 210
ST PETERSBURG, FL 33704
Registration History
199019952000200520102015202020252 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - Present (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)1991 - 2016 (25 years)BAFSG SECURITIES CORPORATION (CRD# 18374)1999 - 2005 (6 years)BMARINER FINANCIAL SERVICES, INC. (CRD# 8292)1995 - 1997 (2 years)BPW SECURITIES, INC. (CRD# 6775)1986 - 1991 (4 years)IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2007 - 2016 (8 years)
License(s)

State Registrations

B
Florida 11/2/2018
IA
Florida 11/2/2018

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)
3637 4th STREET N STE 210, ST PETERSBURG, FL 33704
Registered with this firm since 11/2/2018
B
OSAIC WEALTH, INC. (CRD#:23131)
3637 4th STREET N STE 210, ST PETERSBURG, FL 33704
Registered with this firm since 11/2/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ST PETERSBURG, FL
B
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ST PETERSBURG, FL
IA
 08/08/2007 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) ST. PETERSBURG, FL
B
 04/01/1991 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) ST. PETERSBURG, FL
B
 05/24/1999 - 05/23/2005 AFSG SECURITIES CORPORATION (CRD#:18374) CEDAR RAPIDS, IA
B
 09/21/1995 - 10/07/1997 MARINER FINANCIAL SERVICES, INC. (CRD#:8292) LARGO, FL
B
 10/30/1986 - 04/01/1991 PW SECURITIES, INC. (CRD#:6775)
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.