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Detailed Report
BENJAMIN CARL TOMPKINS
CRD#: 5164232
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 2905 UNIVERSAL ST
LL1
OSHKOSH, WI 54904
Registration History
200620082010201220142016201820202022202420262 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (1 year)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2006 - 2016 (9 years)IATHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2013 - 2016 (2 years)
License(s)

State Registrations

B
California 1/19/2024
B
West Virginia 1/19/2024
B
Minnesota 1/19/2024
B
Wisconsin 1/19/2024
IA
Texas 2/12/2025
IA
Wisconsin 1/19/2024
B
Texas 2/14/2025

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)
2905 UNIVERSAL ST LL1, OSHKOSH, WI 54904
Registered with this firm since 1/19/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
2905 UNIVERSAL ST LL1, OSHKOSH, WI 54904
Registered with this firm since 1/19/2024
Previous Registration(s)
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IA
 11/16/2018 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OSHKOSH, WI
B
 11/16/2018 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OSHKOSH, WI
IA
 04/19/2016 - 11/20/2018 REGAL INVESTMENT ADVISORS LLC (CRD#:125004) Oshkosh, WI
B
 04/19/2016 - 11/20/2018 REGULUS ADVISORS, LLC (CRD#:150631) Oshkosh, WI
IA
 12/20/2013 - 04/25/2016 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) OSHKOSH, WI
B
 07/28/2006 - 04/25/2016 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) OSHKOSH, 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.