Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
WILLIAM CARTER GOING
GOING BILL, BILL GOING
CRD#: 3199381
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 1502 Augusta Drive
SUITE 150
HOUSTON, TX 77057
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2025 (17 years)2 FIRMS2025 - Present (<1 year)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2002 - 2007 (5 years)BNEW ENGLAND SECURITIES (CRD# 615)1999 - 2002 (2 years)
License(s)

State Registrations

B
Texas 1/24/2025
IA
Texas 1/24/2025

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)
1502 Augusta Drive SUITE 150, HOUSTON, TX 77057
Registered with this firm since 1/24/2025
B
OSAIC WEALTH, INC. (CRD#:23131)
1502 Augusta Drive SUITE 150, HOUSTON, TX 77057
Registered with this firm since 1/24/2025
Previous Registration(s)
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IA
 12/18/2007 - 01/24/2025 OSAIC FS, INC. (CRD#:3870) HOUSTON, TX
B
 12/18/2007 - 01/24/2025 OSAIC FS, INC. (CRD#:3870) HOUSTON, TX
B
 05/06/2002 - 12/19/2007 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) HOUSTON, TX
B
 08/13/1999 - 05/15/2002 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
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.