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Detailed Report
Registration History
19952000200520102015202020253 FIRMS2004 - 2004 (<1 year)2 FIRMS2004 - 2008 (3 years)2 FIRMS2008 - 2016 (7 years)2 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - Present (6 years)BHIGH MARK SECURITIES, INC. (CRD# 42467)2002 - 2004 (1 year)BPRIME CAPITAL SERVICES, INC. (CRD# 18334)2002 - 2002 (<1 year)BK.W. BROWN INVESTMENTS (CRD# 16492)2001 - 2002 (1 year)BNOBLE INTERNATIONAL INVESTMENT... (CRD# 15768)2000 - 2001 (<1 year)BINTERSECURITIES, INC. (CRD# 16164)1998 - 2000 (2 years)BTOWER EQUITIES, INC. (CRD# 16195)1996 - 1998 (2 years)BK.W. BROWN INVESTMENTS (CRD# 16492)1995 - 1996 (1 year)BCHUBB SECURITIES CORPORATION (CRD# 3870)1992 - 1995 (2 years)
Disclosure(s)
View By:
3/27/2012
Customer Dispute
Denied
4/13/2009
Customer Dispute
Closed-No Action
License(s)

State Registrations

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Arizona 4/15/2021
B
Massachusetts 11/2/2018
B
California 1/14/2025
B
New Jersey 11/2/2018
B
Florida 11/2/2018
B
New York 11/2/2018
IA
Florida 11/2/2018
B
North Carolina 5/14/2021
B
Illinois 11/2/2018
B
Wisconsin 6/1/2021
B
Maryland 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)
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OSAIC WEALTH, INC. (CRD#:23131)
BOCA RATON, FL
1200 NORTH FEDERAL HIGHWAY SUITE 300, BOCA RATON, FL 33432
Registered with this firm since 11/2/2018
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OSAIC WEALTH, INC. (CRD#:23131)
BOCA RATON, FL
1200 NORTH FEDERAL HIGHWAY SUITE 300, BOCA RATON, FL 33432
Registered with this firm since 11/2/2018
Previous Registration(s)
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 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) BOCA RATON, FL
B
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) BOCA RATON, FL
IA
 07/23/2008 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) BOCA RATON, FL
B
 07/22/2008 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) BOCA RATON, FL
IA
 11/01/2004 - 07/25/2008 WALNUT STREET SECURITIES, INC. (CRD#:15840) BOCA RATON, FL
B
 10/26/2004 - 07/25/2008 WALNUT STREET SECURITIES, INC. (CRD#:15840) BOCA RATON, FL
IA
 09/14/2004 - 09/30/2004 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) DEL RAY, FL
B
 08/26/2004 - 09/30/2004 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
IA
 06/07/2004 - 09/02/2004 HIGH MARK SECURITIES, INC. (CRD#:42467) DELRAY BEACH, FL
B
 11/05/2002 - 09/02/2004 HIGH MARK SECURITIES, INC. (CRD#:42467) LAKELAND, FL
B
 07/01/2002 - 12/03/2002 PRIME CAPITAL SERVICES, INC. (CRD#:18334) POUGHKEEPSIE, NY
B
 01/05/2001 - 06/27/2002 K.W. BROWN INVESTMENTS (CRD#:16492) DELRAY BEACH, FL
B
 07/03/2000 - 01/05/2001 NOBLE INTERNATIONAL INVESTMENTS, INC. (CRD#:15768) BOCA RATON, FL
B
 05/08/1998 - 07/05/2000 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
 03/08/1996 - 05/06/1998 TOWER EQUITIES, INC. (CRD#:16195)
FINRA expelled the firm on 01/31/2014
DAYTON, OH
B
 03/21/1995 - 03/11/1996 K.W. BROWN INVESTMENTS (CRD#:16492) DELRAY BEACH, FL
B
 11/23/1992 - 03/13/1995 CHUBB SECURITIES CORPORATION (CRD#:3870) FORT WAYNE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.