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Registration History
1995200020052010201520202025IAOSAIC FA, INC. (CRD# 3978)2021 - Present (3 years)BOSAIC FA, INC. (CRD# 3978)2013 - Present (11 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)2011 - 2011 (<1 year)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2004 - 2011 (6 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2004 - 2004 (<1 year)BAXA ADVISORS, LLC (CRD# 6627)1993 - 2004 (10 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1993 - 2000 (6 years)
Disclosure(s)
View By:
7/8/2008
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/30/2021

IA
New York 6/14/2021

B
New Jersey 4/11/2013

B
South Dakota 6/6/2022

B
New York 4/11/2013

B
Texas 4/11/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC FA, INC. (CRD#:3978)
KEW GARDENS, NY
Registered with this firm since 6/14/2021

B
OSAIC FA, INC. (CRD#:3978)
KEW GARDENS, NY
Registered with this firm since 4/11/2013

Previous Registration(s)
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B
04/21/2011 - 11/23/2011 AMERITAS INVESTMENT CORP. (CRD#:14869) LAKE SUCCESS, NY
B
08/02/2004 - 02/03/2011 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) WESTBURY, NY
B
03/11/2004 - 05/21/2004 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
05/20/1993 - 03/05/2004 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
05/20/1993 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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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.