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Detailed Report
JODY JOHN OTTO
CRD#: 1587943
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 5886 BLACKSHIRE PATH
INVER GROVE HEIGHTS, MN 55076
Registration History
199019952000200520102015202020252 FIRMS2005 - 2013 (7 years)2 FIRMS2013 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1995 - 2005 (10 years)BFORTIS INVESTORS, INC. (CRD# 421)1990 - 1995 (5 years)BMUTUAL SERVICE CORPORATION (CRD# 4806)1988 - 1990 (2 years)BSOUTHMARK FINANCIAL SERVICES, INC. (CRD# 6518)1987 - 1988 (<1 year)BENGLER-BUDD & COMPANY INC. (CRD# 1743)1986 - 1986 (<1 year)
Disclosure(s)
View By:
3/5/1992
Regulatory
Final
License(s)

State Registrations

B
Arizona 7/12/2024
B
Kansas 7/2/2024
B
California 7/2/2024
B
Louisiana 7/31/2024
B
Colorado 7/2/2024
B
Michigan 7/3/2024
B
Florida 7/2/2024
IA
Minnesota 6/14/2024
B
Hawaii 7/2/2024
B
Minnesota 7/2/2024
B
Idaho 7/1/2024
B
North Dakota 7/8/2024
B
Indiana 7/3/2024
B
South Carolina 7/3/2024
B
Iowa 7/2/2024
B
Wisconsin 7/3/2024

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)
5886 BLACKSHIRE PATH, INVER GROVE HEIGHTS, MN 55076
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
5886 BLACKSHIRE PATH, INVER GROVE HEIGHTS, MN 55076
Registered with this firm since 7/1/2024
Previous Registration(s)
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B
 06/03/2013 - 06/15/2024 SECURITIES AMERICA, INC. (CRD#:10205) INVER GROVE HEIGHTS, MN
IA
 11/21/2013 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) INVER GROVE HEIGHTS, MN
IA
 11/08/2005 - 06/04/2013 SII INVESTMENTS, INC. (CRD#:2225) INVER GROVE HEIGHTS, MN
B
 11/08/2005 - 06/04/2013 SII INVESTMENTS, INC. (CRD#:2225) INVER GROVE HEIGHTS, MN
B
 11/10/1995 - 11/15/2005 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
 10/01/1990 - 11/28/1995 FORTIS INVESTORS, INC. (CRD#:421) OAKDALE, MN
B
 04/06/1988 - 10/17/1990 MUTUAL SERVICE CORPORATION (CRD#:4806) BOSTON, MA
B
 06/05/1987 - 04/09/1988 SOUTHMARK FINANCIAL SERVICES, INC. (CRD#:6518)
B
 11/21/1986 - 11/26/1986 ENGLER-BUDD & COMPANY INC. (CRD#:1743)
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.