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Detailed Report
GERAL JEAN SMITH
GERAL METROKA, GERAL M SMITH
CRD#: 1784547
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 110 LINDEN OAKS
SUITE E
ROCHESTER, NY 14625
Registration History
19952000200520102015202020252 FIRMS2023 - Present (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)2006 - 2023 (17 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2004 - 2006 (2 years)BGUNNALLEN FINANCIAL, INC (CRD# 17609)2003 - 2004 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2003 (3 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1997 - 1999 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1996 - 1997 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1993 - 1996 (3 years)IAFSC SECURITIES CORPORATION (CRD# 7461)2007 - 2023 (16 years)IAGUNNALLEN FINANCIAL, INC (CRD# 17609)2003 - 2003 (<1 year)
License(s)

State Registrations

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Alabama 11/3/2023
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Montana 11/3/2023
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Alaska 11/3/2023
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Nebraska 11/3/2023
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Arizona 11/3/2023
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Nevada 11/3/2023
B
Arkansas 11/3/2023
B
New Hampshire 11/3/2023
B
California 11/3/2023
B
New Jersey 11/3/2023
B
Colorado 11/3/2023
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New Mexico 11/3/2023
B
Connecticut 11/3/2023
B
New York 11/3/2023
B
Delaware 11/3/2023
IA
New York 11/3/2023
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District of Columbia 11/3/2023
B
North Carolina 11/3/2023
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Florida 11/3/2023
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Ohio 11/3/2023
IA
Florida 11/3/2023
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Oklahoma 11/3/2023
B
Georgia 11/3/2023
B
Oregon 11/3/2023
B
Hawaii 11/3/2023
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Pennsylvania 11/3/2023
B
Idaho 11/3/2023
B
Puerto Rico 11/3/2023
B
Illinois 11/3/2023
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Rhode Island 11/3/2023
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Indiana 11/3/2023
B
South Carolina 11/3/2023
B
Iowa 11/3/2023
B
South Dakota 11/3/2023
B
Kansas 11/3/2023
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Tennessee 11/3/2023
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Kentucky 11/3/2023
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Texas 11/3/2023
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Louisiana 11/3/2023
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Utah 11/3/2023
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Maine 11/3/2023
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Vermont 11/3/2023
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Maryland 11/3/2023
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Virginia 11/3/2023
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Massachusetts 11/3/2023
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Washington 11/3/2023
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Michigan 11/3/2023
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West Virginia 11/3/2023
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Minnesota 11/3/2023
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Wisconsin 11/3/2023
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Mississippi 11/3/2023
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Wyoming 11/3/2023
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Missouri 11/3/2023

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
110 LINDEN OAKS SUITE E, ROCHESTER, NY 14625
Registered with this firm since 11/3/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
110 LINDEN OAKS SUITE E, ROCHESTER, NY 14625
Registered with this firm since 11/3/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/13/2007 - 11/03/2023 FSC SECURITIES CORPORATION (CRD#:7461) ROCHESTER, NY
B
 08/01/2006 - 11/03/2023 FSC SECURITIES CORPORATION (CRD#:7461) ROCHESTER, NY
B
 01/13/2004 - 07/07/2006 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) FAIRPORT, NY
B
 02/24/2003 - 01/02/2004 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
IA
 11/26/2003 - 12/31/2003 GUNNALLEN FINANCIAL, INC (CRD#:17609) ROCHESTER, NY
B
 11/08/1999 - 02/25/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 12/20/1997 - 11/22/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 04/26/1996 - 12/16/1997 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 04/21/1993 - 05/02/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.