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Registration History
19952000200520102015202020252 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2023 (10 years)2 FIRMS2023 - 2025 (1 year)2 FIRMS2025 - Present (<1 year)BWIEN SECURITIES CORP. (CRD# 10467)2003 - 2003 (<1 year)BSCHWAB CAPITAL MARKETS L.P. (CRD# 2692)1997 - 2002 (5 years)BNASH, WEISS & CO. (CRD# 6470)1995 - 1997 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1995 (<1 year)BSOUTH RICHMOND SECURITIES, INC. (CRD# 14913)1994 - 1994 (<1 year)
Disclosure(s)
View By:
1/22/2018
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/24/2025

B
North Carolina 1/24/2025

B
Kansas 1/24/2025

B
Wisconsin 1/24/2025

B
New Jersey 1/24/2025

IA
Wisconsin 1/24/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
MEQUON, WI
Registered with this firm since 1/24/2025

B
OSAIC WEALTH, INC. (CRD#:23131)
MEQUON, WI
Registered with this firm since 1/24/2025

Previous Registration(s)
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IA
09/01/2023 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) MEQUON, WI
B
08/25/2023 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) MEQUON, WI
IA
05/24/2013 - 08/04/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) RACINE, WI
B
05/24/2013 - 08/04/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) RACINE, WI
IA
06/01/2009 - 06/19/2013 MORGAN STANLEY (CRD#:149777) MEQUON, WI
B
06/01/2009 - 06/19/2013 MORGAN STANLEY (CRD#:149777) MEQUON, WI
IA
01/16/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MEQUON, WI
B
01/16/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MEQUON, WI
IA
02/20/2004 - 01/20/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MEQUON, WI
B
02/20/2004 - 01/20/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MEQUON, WI
B
01/07/2003 - 03/28/2003 WIEN SECURITIES CORP. (CRD#:10467) JERSEY CITY, NJ
B
03/10/1997 - 12/31/2002 SCHWAB CAPITAL MARKETS L.P. (CRD#:2692) STAMFORD, CT
B
06/07/1995 - 03/10/1997 NASH, WEISS & CO. (CRD#:6470) JERSEY CITY, NJ
B
11/23/1994 - 05/18/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
08/04/1994 - 10/21/1994 SOUTH RICHMOND SECURITIES, INC. (CRD#:14913)
FINRA expelled the firm on 04/24/1995
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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.