Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
1995200020052010201520202025IAOSAIC WEALTH, INC. (CRD# 23131)2016 - Present (9 years)BOSAIC WEALTH, INC. (CRD# 23131)2000 - Present (24 years)BGREAT AMERICAN ADVISORS, INC. (CRD# 36451)1996 - 2000 (4 years)BARM SECURITIES CORPORATION (CRD# 932)1995 - 1996 (1 year)
Disclosure(s)
View By:
7/6/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/5/2020
B
Montana 1/28/2020
B
Alaska 8/5/2020
B
Nebraska 8/5/2020
B
Arizona 8/9/2004
B
Nevada 11/2/2010
B
California 4/22/2004
B
New Mexico 8/5/2020
B
Colorado 10/31/2000
B
New York 8/5/2020
B
Connecticut 8/5/2020
B
North Carolina 8/5/2020
B
Florida 8/5/2020
B
Ohio 8/5/2020
B
Georgia 8/5/2020
B
Oregon 10/31/2000
B
Hawaii 7/5/2012
IA
Oregon 3/28/2017
B
Idaho 1/8/2007
B
Pennsylvania 8/5/2020
B
Illinois 11/25/2019
B
South Carolina 8/5/2020
B
Iowa 8/27/2020
B
South Dakota 10/22/2013
B
Kentucky 8/5/2020
B
Texas 10/31/2000
B
Maine 8/5/2020
IA
Texas 12/4/2023
B
Maryland 8/5/2020
B
Utah 8/5/2020
B
Massachusetts 10/18/2017
B
Washington 10/31/2000
B
Michigan 8/5/2020
IA
Washington 3/31/2016
B
Minnesota 8/5/2020
B
Wyoming 8/5/2020

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)
1143 OAK STREET, EUGENE, OR 97401
Registered with this firm since 3/31/2016
B
OSAIC WEALTH, INC. (CRD#:23131)
1143 OAK STREET, EUGENE, OR 97401
Registered with this firm since 10/31/2000
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/01/1996 - 10/31/2000 GREAT AMERICAN ADVISORS, INC. (CRD#:36451) CINCINNATI, OH
B
 02/22/1995 - 02/10/1996 ARM SECURITIES CORPORATION (CRD#:932) MINOT, ND
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.