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Detailed Report
ALLEN K MARLER
CRD#: 4112169
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 9055 S 1300 E STE 105
SANDY, UT 84094-3133
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2000 (<1 year)2 FIRMS2002 - 2002 (<1 year)2 FIRMS2002 - 2024 (22 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Alabama 6/14/2024
IA
Texas 6/14/2024
B
Colorado 6/14/2024
B
Utah 6/14/2024
B
Idaho 6/14/2024
IA
Utah 6/14/2024
B
Ohio 6/14/2024
B
Washington 6/14/2024
B
Texas 6/14/2024
B
Wyoming 6/14/2024

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)
9055 S 1300 E STE 105, SANDY, UT 84094-3133
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
9055 S 1300 E STE 105, SANDY, UT 84094-3133
Registered with this firm since 6/14/2024
Previous Registration(s)
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IA
 09/17/2002 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) SANDY, UT
B
 05/08/2002 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) SANDY, UT
B
 02/12/2002 - 05/02/2002 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 02/12/2002 - 05/02/2002 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 02/16/2000 - 05/10/2000 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 02/16/2000 - 05/10/2000 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.