Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2023 - Present (1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2005 - 2023 (17 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2001 - 2005 (4 years)BWMA SECURITIES, INC. (CRD# 32625)1995 - 2001 (6 years)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2018 - 2023 (5 years)
Disclosure(s)
View By:
5/15/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/1/2023
B
Florida 9/1/2023
B
California 9/1/2023
B
Idaho 9/1/2023
IA
California 9/1/2023
B
Louisiana 9/1/2023

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)
4950 HAMILTON AVE #107, SAN JOSE, CA 95130
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
4950 HAMILTON AVE #107, SAN JOSE, CA 95130
Registered with this firm since 9/1/2023
Previous Registration(s)
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IA
 07/02/2018 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SAN JOSE, CA
B
 10/31/2005 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SAN JOSE, CA
B
 03/21/2001 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 03/24/1995 - 04/18/2001 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
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.