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Detailed Report
STACY L NEWELL
CRD#: 4086804
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 601 2ND STREET
SUITE 101
LA SALLE, IL 61301
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2008 - 2023 (14 years)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2002 - 2008 (6 years)BFRANKLIN FINANCIAL SERVICES CO... (CRD# 5435)2000 - 2002 (2 years)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2014 - 2023 (9 years)
License(s)

State Registrations

B
Arizona 9/1/2023
IA
Kentucky 9/1/2023
B
California 9/1/2023
B
Massachusetts 9/1/2023
B
Florida 9/1/2023
B
Missouri 5/1/2024
B
Georgia 9/1/2023
B
Nevada 9/1/2023
B
Illinois 9/1/2023
B
Ohio 9/1/2023
IA
Illinois 9/1/2023
B
Oregon 9/1/2023
B
Indiana 9/1/2023
B
Virginia 7/18/2024
B
Iowa 9/1/2023
B
Wisconsin 9/1/2023
B
Kentucky 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)
601 2ND STREET SUITE 101, LA SALLE, IL 61301
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
601 2ND STREET SUITE 101, LA SALLE, IL 61301
Registered with this firm since 9/1/2023
Previous Registration(s)
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IA
 04/25/2014 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) LA SALLE, IL
B
 10/31/2008 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) LA SALLE, IL
B
 10/01/2002 - 10/31/2008 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) LA SALLE, IL
B
 01/10/2000 - 10/01/2002 FRANKLIN FINANCIAL SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
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.