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Detailed Report
DONALD SCOTT PENN
CRD#: 4264730
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 571 MONON BLVD.
STE. 150
CARMEL, IN 46032
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2021 - 2024 (2 years)2 FIRMS2024 - Present (1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2004 - 2021 (17 years)BFRONTIER FINANCIAL CONSULTANTS... (CRD# 44792)2000 - 2004 (3 years)IAFINANCIAL PLANNING CONSULTANTS... (CRD# 123832)2005 - 2022 (16 years)IAFRONTIER FINANCIAL CONSULTANTS... (CRD# 44792)2001 - 2004 (2 years)
License(s)

State Registrations

B
Arkansas 1/19/2024
B
Missouri 1/19/2024
B
California 1/19/2024
B
New Jersey 1/19/2024
B
Colorado 1/19/2024
B
New York 1/19/2024
B
Connecticut 1/19/2024
B
North Carolina 1/19/2024
B
Florida 1/19/2024
B
Ohio 1/19/2024
IA
Florida 1/19/2024
B
Oklahoma 1/19/2024
B
Georgia 1/19/2024
B
Oregon 9/20/2024
B
Illinois 1/19/2024
B
Pennsylvania 1/19/2024
B
Indiana 1/19/2024
B
South Carolina 1/19/2024
IA
Indiana 1/19/2024
B
Tennessee 1/19/2024
B
Kansas 1/19/2024
B
Texas 1/19/2024
B
Kentucky 1/19/2024
IA
Texas 1/19/2024
B
Massachusetts 1/19/2024
B
Virginia 1/19/2024
B
Michigan 1/19/2024
B
Wisconsin 1/19/2024
B
Minnesota 1/19/2024

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)
571 MONON BLVD. STE. 150, CARMEL, IN 46032
Registered with this firm since 1/19/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
571 MONON BLVD. STE. 150, CARMEL, IN 46032
Registered with this firm since 1/19/2024
Previous Registration(s)
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IA
 07/29/2021 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) CARMEL, IN
B
 07/29/2021 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) CARMEL, IN
IA
 09/27/2005 - 04/21/2022 FINANCIAL PLANNING CONSULTANTS, INC. (CRD#:123832) LAFAYETTE, IN
B
 04/02/2004 - 08/03/2021 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) INDIANAPOLIS, IN
IA
 09/05/2001 - 02/27/2004 FRONTIER FINANCIAL CONSULTANTS, INC. (CRD#:44792) INDIANAPOLIS, IN
B
 10/06/2000 - 02/27/2004 FRONTIER FINANCIAL CONSULTANTS, INC. (CRD#:44792) COLUMBIA, MD
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.