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Detailed Report
ALLISON K RUD
ALI KAY BANICK, ALLISON KAY BANICK, ALI KAY DEVALENCIA, ALLISON KAY DEVALENCIA, ALI KAY RUD
CRD#: 4849073
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 104 W MAIN ST
MONDOVI, WI 54755
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2023 (14 years)2 FIRMS2023 - Present (1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2004 - 2008 (4 years)IAAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Arizona 9/1/2023
B
Michigan 9/1/2023
B
California 9/1/2023
B
Minnesota 9/1/2023
B
Florida 9/1/2023
B
Utah 9/1/2023
IA
Florida 9/1/2023
B
Wisconsin 9/1/2023
B
Iowa 9/1/2023
IA
Wisconsin 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)
104 W MAIN ST, MONDOVI, WI 54755
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
104 W MAIN ST, MONDOVI, WI 54755
Registered with this firm since 9/1/2023
Previous Registration(s)
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IA
 10/31/2008 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) MONDOVI, WI
B
 10/31/2008 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) MONDOVI, WI
B
 09/13/2004 - 10/31/2008 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) MONDOVI, WI
IA
 09/15/2006 - 09/15/2006 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) MONDOVI, WI
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.