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Registration History
197519801985199019952000200520102015202020252 FIRMS2009 - 2024 (15 years)2 FIRMS2024 - Present (<1 year)BEPLANNING SECURITIES, INC. (CRD# 46000)2006 - 2009 (2 years)BSAMMONS SECURITIES COMPANY, LLC (CRD# 115368)2002 - 2006 (4 years)BMTL EQUITY PRODUCTS, INC. (CRD# 15764)2002 - 2002 (<1 year)BIAC SECURITIES, INC. (CRD# 14081)1999 - 2002 (2 years)BIAC SECURITIES, INC. (CRD# 14081)1999 - 1999 (<1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1994 - 1999 (4 years)BSOARES FINANCIAL GROUP, INC. (CRD# 16286)1985 - 1994 (9 years)BCONSOLIDATED INVESTMENT SERVIC... (CRD# 7929)1983 - 1985 (1 year)BUNIVERSITY SECURITIES CORPORATION (CRD# 6518)1980 - 1983 (3 years)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)1971 - 1978 (6 years)IAEPLANNING ADVISORS INC (CRD# 109184)2008 - 2009 (1 year)
Disclosure(s)
View By:
2/7/2017
Judgment / Lien
6/25/2013
Judgment / Lien
12/14/2011
Judgment / Lien
9/16/2011
Judgment / Lien
9/16/2011
Judgment / Lien
7/1/2011
Judgment / Lien
7/1/2011
Judgment / Lien
1/3/2006
Judgment / Lien
4/12/2005
Judgment / Lien
11/1/2004
Judgment / Lien
License(s)

State Registrations

B
California 6/14/2024

B
Nevada 6/14/2024

IA
California 6/14/2024

IA
Nevada 6/14/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
RENO, NV
Registered with this firm since 6/14/2024

B
OSAIC WEALTH, INC. (CRD#:23131)
RENO, NV
Registered with this firm since 6/14/2024

Previous Registration(s)
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IA
01/08/2009 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) SAN JOSE, CA
B
01/08/2009 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) SAN JOSE, CA
IA
01/10/2008 - 01/14/2009 EPLANNING ADVISORS INC (CRD#:109184) ROSEVILLE, CA
B
12/19/2006 - 01/14/2009 EPLANNING SECURITIES, INC. (CRD#:46000) SAN JOSE, CA
B
04/22/2002 - 12/31/2006 SAMMONS SECURITIES COMPANY, LLC (CRD#:115368) SAN JOSE, CA
B
01/01/2002 - 04/19/2002 MTL EQUITY PRODUCTS, INC. (CRD#:15764) FOUNTAIN HILLS, AZ
B
06/23/1999 - 01/01/2002 IAC SECURITIES, INC. (CRD#:14081) TINLEY PARK, IL
B
05/21/1999 - 06/14/1999 IAC SECURITIES, INC. (CRD#:14081)
B
07/18/1994 - 05/25/1999 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
06/19/1985 - 08/02/1994 SOARES FINANCIAL GROUP, INC. (CRD#:16286)
B
07/07/1983 - 06/13/1985 CONSOLIDATED INVESTMENT SERVICES, INC. (CRD#:7929)
B
01/17/1980 - 06/30/1983 UNIVERSITY SECURITIES CORPORATION (CRD#:6518)
B
04/01/1971 - 01/23/1978 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036)
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Broker
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Investment Adviser
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.