• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD HENRY MOOTZ JR
RICHARD MOOTZ, RICK MOOTZ JR
CRD#: 3226386
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 680 RIO LINDO AVE, STE 60
CHICO, CA 95926
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2024 (15 years)2 FIRMS2024 - Present (<1 year)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2003 - 2005 (1 year)BEDWARD JONES (CRD# 250)1999 - 2003 (3 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2004 - 2005 (<1 year)
License(s)

State Registrations

B
Alaska 6/14/2024

B
Nevada 6/14/2024

B
Arizona 6/14/2024

B
North Carolina 6/14/2024

B
California 6/14/2024

B
Ohio 6/14/2024

IA
California 6/14/2024

B
Oregon 6/14/2024

B
Colorado 6/14/2024

B
South Carolina 6/14/2024

B
Florida 6/14/2024

B
Tennessee 6/14/2024

B
Hawaii 6/14/2024

B
Texas 6/14/2024

B
Idaho 6/14/2024

IA
Texas 6/14/2024

B
Indiana 1/23/2025

B
Utah 6/14/2024

B
Minnesota 6/14/2024

B
Virginia 6/14/2024

B
Montana 6/14/2024

B
Washington 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)
680 RIO LINDO AVE, STE 60, CHICO, CA 95926
Registered with this firm since 6/14/2024

B
OSAIC WEALTH, INC. (CRD#:23131)
680 RIO LINDO AVE, STE 60, CHICO, CA 95926
Registered with this firm since 6/14/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/23/2009 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) CHICO, CA
B
01/23/2009 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) CHICO, CA
IA
01/03/2005 - 02/07/2009 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) PARADISE, CA
B
01/03/2005 - 01/23/2009 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) PARADISE, CA
IA
09/24/2004 - 01/06/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) PARADISE, CA
B
06/16/2003 - 01/06/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
07/07/1999 - 06/17/2003 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
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.