Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - 2020 (1 year)2 FIRMS2020 - 2025 (4 years)2 FIRMS2025 - Present (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2015 - 2017 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2017 (1 year)
Disclosure(s)
View By:
7/16/2022
Financial
Final
License(s)

State Registrations

B
California 1/24/2025
IA
Maryland 1/24/2025
B
Maryland 1/24/2025

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)
SEVERNA PARK, MD
Registered with this firm since 1/24/2025
B
OSAIC WEALTH, INC. (CRD#:23131)
SEVERNA PARK, MD
Registered with this firm since 1/24/2025
Previous Registration(s)
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IA
 02/12/2020 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) SEVERNA PARK, MD
B
 02/12/2020 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) SEVERNA PARK, MD
IA
 04/13/2018 - 02/19/2020 M&T SECURITIES, INC. (CRD#:17358) ANNAPOLIS, MD
B
 04/13/2018 - 02/19/2020 M&T SECURITIES, INC. (CRD#:17358) ANNAPOLIS, MD
IA
 03/29/2017 - 01/31/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SEVERNA PARK, MD
B
 03/29/2017 - 01/31/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SEVERNA PARK, MD
IA
 01/15/2016 - 02/14/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BALTIMORE, MD
B
 12/01/2015 - 02/14/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BALTIMORE, MD
IA
 06/01/2009 - 04/08/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) BEVERLY HILLS, CA
B
 06/01/2009 - 04/08/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) BEVERLY HILLS, CA
IA
 09/25/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEVERLY HILLS, CA
B
 08/29/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEVERLY HILLS, CA
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.