Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2017 - 2024 (6 years)2 FIRMS2024 - Present (<1 year)BINVEST FINANCIAL CORPORATION (CRD# 12984)2005 - 2017 (12 years)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2003 - 2005 (1 year)BVERAVEST INVESTMENTS, INC. (CRD# 3960)2003 - 2003 (<1 year)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)1993 - 2003 (9 years)IAINVEST FINANCIAL CORPORATION (CRD# 12984)2006 - 2017 (11 years)
Disclosure(s)
View By:
2/5/2018
Financial
Final
License(s)

State Registrations

B
Alabama 6/14/2024
B
Oklahoma 6/14/2024
B
New York 6/14/2024
B
Oregon 6/14/2024
IA
New York 6/14/2024
B
Texas 6/14/2024
B
Ohio 6/14/2024
B
Virginia 6/14/2024
IA
Ohio 6/14/2024

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)
36 N STATE ST, NUNDA, NY 14517
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
36 N STATE ST, NUNDA, NY 14517
Registered with this firm since 6/14/2024
Previous Registration(s)
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IA
 12/01/2017 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) NUNDA, NY
B
 12/01/2017 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) NUNDA, NY
IA
 05/23/2006 - 12/06/2017 INVEST FINANCIAL CORPORATION (CRD#:12984) NORTH TONAWANDA, NY
B
 02/09/2005 - 12/06/2017 INVEST FINANCIAL CORPORATION (CRD#:12984) NORTH TONAWANDA, NY
B
 07/11/2003 - 02/15/2005 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
B
 01/31/2003 - 07/01/2003 VERAVEST INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
B
 04/15/1993 - 01/17/2003 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) MINNEAPOLIS, MN
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.