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Registration History
199019952000200520102015202020252 FIRMS1996 - 2004 (8 years)2 FIRMS2004 - 2005 (<1 year)2 FIRMS2005 - 2010 (4 years)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2024 (13 years)2 FIRMS2024 - Present (<1 year)BH. BECK, INC. (CRD# 1763)2010 - 2010 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1994 - 1996 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1994 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 1990 (1 year)
Disclosure(s)
View By:
3/9/2010
Employment Separation After Allegations
License(s)

State Registrations

B
Alaska 10/11/2024

B
Nevada 10/11/2024

IA
Alaska 10/11/2024

B
New Jersey 10/11/2024

B
Arizona 10/11/2024

B
New Mexico 10/11/2024

B
California 10/11/2024

IA
New Mexico 10/11/2024

IA
California 10/11/2024

B
New York 10/11/2024

B
Colorado 10/11/2024

B
North Carolina 10/11/2024

B
Connecticut 10/11/2024

IA
North Carolina 10/11/2024

B
District of Columbia 10/11/2024

B
Ohio 10/11/2024

B
Florida 10/11/2024

B
Oklahoma 10/11/2024

IA
Florida 2/6/2025

B
Oregon 10/11/2024

B
Georgia 10/11/2024

IA
Oregon 10/11/2024

B
Illinois 10/11/2024

B
Pennsylvania 10/11/2024

B
Indiana 10/11/2024

IA
Pennsylvania 10/11/2024

B
Kentucky 10/11/2024

B
South Carolina 10/11/2024

B
Maryland 10/11/2024

B
Texas 10/11/2024

B
Massachusetts 10/11/2024

IA
Texas 2/6/2025

B
Michigan 10/11/2024

B
Virginia 10/11/2024

IA
Michigan 10/11/2024

B
Washington 10/11/2024

B
Missouri 10/11/2024

B
Wisconsin 10/11/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
Belvedere, CA
Registered with this firm since 10/11/2024

B
OSAIC WEALTH, INC. (CRD#:23131)
Belvedere, CA
Registered with this firm since 10/11/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/18/2011 - 10/11/2024 AMERICAN PORTFOLIOS ADVISORS, INC (CRD#:112697) HOLBROOK, NY
B
03/04/2011 - 10/11/2024 AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (CRD#:18487) Belvedere, CA
IA
05/20/2010 - 02/14/2011 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) SAN FRANCISCO, CA
B
05/20/2010 - 02/14/2011 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) SAN FRANCISCO, CA
B
05/06/2010 - 05/10/2010 H. BECK, INC. (CRD#:1763) ROCKVILLE, MD
IA
06/13/2005 - 03/26/2010 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN FRANCISCO, CA
B
06/13/2005 - 03/26/2010 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN FRANCISCO, CA
IA
10/01/2004 - 06/13/2005 ROUND HILL SECURITIES, INC. (CRD#:35223) SAN FRANCISCO, CA
B
10/01/2004 - 06/13/2005 ROUND HILL SECURITIES, INC. (CRD#:35223) ALAMO, CA
IA
04/18/1996 - 10/11/2004 BEAR, STEARNS & CO. INC. (CRD#:79) SAN FRANCISCO, CA
B
03/11/1996 - 10/11/2004 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
B
08/19/1994 - 07/22/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
09/12/1990 - 08/25/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
03/21/1989 - 09/27/1990 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
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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.