Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2014 (5 years)3 FIRMS2014 - 2018 (4 years)2 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)
Disclosure(s)
View By:
10/1/2012
Customer Dispute
Settled
License(s)

State Registrations

B
California 2/11/2025
B
Illinois 6/14/2024
B
Colorado 10/21/2024
IA
Illinois 6/14/2024

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)
FRANKFORT, IL
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
FRANKFORT, IL
Registered with this firm since 6/14/2024
Previous Registration(s)
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IA
 09/18/2020 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) FRANKFORT, IL
B
 09/18/2020 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) FRANKFORT, IL
IA
 08/27/2018 - 09/18/2020 SSN ADVISORY, INC. (CRD#:126090) Frankfort, IL
B
 08/27/2018 - 09/18/2020 SECURITIES SERVICE NETWORK, LLC (CRD#:13318) KNOXVILLE, TN
IA
 05/19/2014 - 09/10/2018 AMERICAN TRUST INVESTMENT SERVICES ADVISORY (CRD#:3001) CHICAGO, IL
B
 02/19/2014 - 09/10/2018 AMERICAN TRUST INVESTMENT SERVICES, INC. (CRD#:3001) CHICAGO, IL
IA
 02/18/2014 - 08/27/2018 CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (CRD#:123483) LISLE, IL
IA
 03/11/2009 - 02/18/2014 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) LOMBARD, IL
B
 02/27/2009 - 02/18/2014 NATIONAL SECURITIES CORPORATION (CRD#:7569) LOMBARD, IL
IA
 12/05/2008 - 03/02/2009 TANDEM ADVISORS, INC. (CRD#:144295) FRANKFORT, IL
B
 01/01/2008 - 03/02/2009 TANDEM SECURITIES, INC. (CRD#:140546) FRANKFORT, IL
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.