Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2007 (6 years)2 FIRMS2007 - 2024 (16 years)2 FIRMS2024 - Present (1 year)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)1996 - 2001 (4 years)
Disclosure(s)
View By:
7/11/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/19/2024
IA
Missouri 1/19/2024
B
Arizona 1/19/2024
B
Nevada 1/19/2024
B
Arkansas 1/19/2024
B
New Hampshire 1/19/2024
B
California 1/19/2024
B
New Jersey 1/19/2024
B
Colorado 1/19/2024
B
New York 1/19/2024
B
Florida 1/19/2024
B
Ohio 1/19/2024
IA
Florida 1/19/2024
B
Pennsylvania 1/19/2024
B
Georgia 1/19/2024
B
Puerto Rico 1/19/2024
B
Illinois 1/19/2024
B
South Carolina 1/19/2024
IA
Illinois 1/19/2024
B
Texas 1/19/2024
B
Indiana 1/19/2024
IA
Texas 1/19/2024
B
Massachusetts 1/19/2024
B
Virginia 1/19/2024
B
Missouri 1/19/2024
B
Wisconsin 1/19/2024

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)
LAKE ZURICH, IL
Registered with this firm since 1/19/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
LAKE ZURICH, IL
Registered with this firm since 1/19/2024
Previous Registration(s)
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IA
 05/25/2007 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) LAKE ZURICH, IL
B
 05/25/2007 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) LAKE ZURICH, IL
IA
 02/02/2001 - 06/14/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OAKBROOK TERRACE, IL
B
 01/29/2001 - 06/14/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OAKBROOK TERRACE, IL
B
 09/13/1996 - 02/07/2001 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
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.