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Detailed Report
Derek Anthony Roy
CRD#: 3159519
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 2300 GLADES ROAD
SUITE 260W
BOCA RATON, FL 33431
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (1 year)2 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BTHE LEADERS GROUP, INC. (CRD# 37157)2019 - 2019 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2016 - 2018 (1 year)BPACIFIC SELECT DISTRIBUTORS, LLC (CRD# 4452)2012 - 2016 (4 years)BRIM SECURITIES LLC (CRD# 18466)2008 - 2012 (4 years)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2006 - 2008 (1 year)BCS CAPITAL STRATEGIES FINANCIA... (CRD# 8193)2004 - 2006 (2 years)BKAUFMAN BROS., L.P. (CRD# 37909)2001 - 2002 (<1 year)BEDWARD JONES (CRD# 250)1999 - 2001 (2 years)
License(s)

State Registrations

B
Arizona 9/1/2023
B
Louisiana 9/1/2023
B
California 9/1/2023
B
Massachusetts 9/1/2023
B
Colorado 9/1/2023
B
Michigan 9/1/2023
B
Delaware 9/1/2023
B
New Jersey 9/1/2023
B
District of Columbia 9/1/2023
B
New York 9/1/2023
B
Florida 9/1/2023
B
North Carolina 9/1/2023
IA
Florida 9/1/2023
B
Pennsylvania 9/1/2023
B
Georgia 9/1/2023
B
Virginia 9/1/2023
IA
Georgia 9/1/2023
B
West Virginia 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)
2300 GLADES ROAD SUITE 260W, BOCA RATON, FL 33431
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
2300 GLADES ROAD SUITE 260W, BOCA RATON, FL 33431
Registered with this firm since 9/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/07/2020 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) BOCA RATON, FL
B
 01/15/2020 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) BOCA RATON, FL
B
 04/12/2019 - 10/04/2019 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
B
 11/23/2016 - 09/24/2018 LPL FINANCIAL LLC (CRD#:6413) LAKE MARY, FL
B
 10/11/2012 - 11/21/2016 PACIFIC SELECT DISTRIBUTORS, LLC (CRD#:4452) NEWPORT BEACH, CA
B
 02/22/2008 - 10/03/2012 RIM SECURITIES LLC (CRD#:18466) NEW YORK, NY
B
 11/27/2006 - 02/15/2008 JACKSON NATIONAL LIFE DISTRIBUTORS LLC (CRD#:40178) FRANKLIN, TN
B
 10/01/2004 - 11/13/2006 CS CAPITAL STRATEGIES FINANCIAL GROUP, INC. (CRD#:8193) ORLANDO, FL
IA
 05/08/2003 - 10/12/2004 INTERSECURITIES, INC. (CRD#:16164) ORLANDO, FL
B
 04/17/2003 - 10/12/2004 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
 08/23/2001 - 04/03/2002 KAUFMAN BROS., L.P. (CRD#:37909) NEW YORK, NY
B
 01/12/1999 - 09/28/2001 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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.