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Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2013 - 2024 (10 years)2 FIRMS2024 - Present (1 year)BLPL FINANCIAL LLC (CRD# 6413)2012 - 2013 (<1 year)BWAMU INVESTMENTS, INC. (CRD# 599)2003 - 2009 (5 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2003 (1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)2000 - 2001 (1 year)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)2000 - 2000 (<1 year)BSCUDDER FINANCIAL SERVICES, INC. (CRD# 41692)1999 - 2000 (<1 year)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)1996 - 1999 (2 years)BMIDWEST DISCOUNT BROKERS INC. (CRD# 29931)1996 - 1996 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2013 - 2013 (<1 year)IAWAMU INVESTMENTS, INC. (CRD# 599)2006 - 2009 (2 years)
Disclosure(s)
View By:
11/9/2009
Customer Dispute
Settled
3/30/2005
Customer Dispute
Settled
12/15/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/19/2024

B
Connecticut 1/19/2024

B
California 1/19/2024

B
North Carolina 1/19/2024

IA
California 1/19/2024

IA
North Carolina 1/19/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
EL CAJON, CA
Registered with this firm since 1/19/2024

B
OSAIC WEALTH, INC. (CRD#:23131)
EL CAJON, CA
Registered with this firm since 1/19/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/27/2013 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) EL CAJON, CA
B
09/26/2013 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) EL CAJON, CA
IA
01/17/2013 - 09/04/2013 LPL FINANCIAL LLC (CRD#:6413) IRVINE, CA
B
12/14/2012 - 09/04/2013 LPL FINANCIAL LLC (CRD#:6413) IRVINE, CA
IA
10/01/2012 - 12/19/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) EL CAJON, CA
B
10/01/2012 - 12/19/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) EL CAJON, CA
IA
05/03/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EL CAJON, CA
B
04/13/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EL CAJON, CA
IA
10/23/2009 - 04/01/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL CAJON, CA
B
10/23/2009 - 04/01/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL CAJON, CA
IA
01/08/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CORONADO, CA
B
01/08/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CORONADO, CA
IA
02/21/2006 - 01/20/2009 WAMU INVESTMENTS, INC. (CRD#:599) SAN DIEGO, CA
B
03/03/2003 - 01/20/2009 WAMU INVESTMENTS, INC. (CRD#:599) SAN DIEGO, CA
B
05/02/2001 - 02/28/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
04/17/2000 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
02/15/2000 - 04/20/2000 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
B
05/06/1999 - 02/15/2000 SCUDDER FINANCIAL SERVICES, INC. (CRD#:41692) BOSTON, MA
B
10/31/1996 - 05/06/1999 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
B
08/29/1996 - 10/16/1996 MIDWEST DISCOUNT BROKERS INC. (CRD#:29931) 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.