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Detailed Report
JOEL MOORE HARRIS
CRD#: 5184086
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 571 MONON BLVD.
STE. 150
CARMEL, IN 46032
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2010 (1 year)2 FIRMS2010 - 2016 (6 years)2 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 6/18/2024
B
Maryland 6/18/2024
B
Colorado 6/18/2024
B
Michigan 6/18/2024
B
Florida 6/18/2024
B
New Jersey 6/18/2024
B
Georgia 6/18/2024
B
Ohio 6/18/2024
B
Indiana 6/18/2024
B
Tennessee 6/18/2024
IA
Indiana 6/18/2024
B
Texas 6/18/2024
B
Kentucky 10/10/2024
IA
Texas 6/18/2024

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 6/18/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
571 MONON BLVD. STE. 150, CARMEL, IN 46032
Registered with this firm since 6/18/2024
Previous Registration(s)
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IA
 12/05/2018 - 06/26/2024 LPL FINANCIAL LLC (CRD#:6413) CARMEL, IN
B
 12/05/2018 - 06/26/2024 LPL FINANCIAL LLC (CRD#:6413) CARMEL, IN
IA
 11/02/2018 - 12/07/2018 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) CARMEL, IN
B
 11/02/2018 - 12/07/2018 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) CARMEL, IN
IA
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) CARMEL, IN
B
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) CARMEL, IN
IA
 04/09/2010 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) CARMEL, IN
B
 04/09/2010 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) CARMEL, IN
IA
 05/14/2008 - 04/13/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CARMEL, IN
B
 05/14/2008 - 04/13/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CARMEL, IN
IA
 01/01/2008 - 05/14/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) INDIANAPOLIS, IN
B
 01/01/2008 - 05/14/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) INDIANAPOLIS, IN
B
 09/04/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) INDIANAPOLIS, IN
IA
 09/18/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) INDIANAPOLIS, IN
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.