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Detailed Report
ERIC PAUL SPINDT
ERIC P SPINDT
CRD#: 5920213
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 109 E BADGER STREET
WAUPACA, WI 54981
Registration History
201220142016201820202022202420262 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - 2024 (7 years)2 FIRMS2024 - Present (1 year)
License(s)

State Registrations

B
Wisconsin 1/19/2024
IA
Wisconsin 1/19/2024

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)
109 E BADGER STREET, WAUPACA, WI 54981
Registered with this firm since 1/19/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
109 E BADGER STREET, WAUPACA, WI 54981
Registered with this firm since 1/19/2024
Previous Registration(s)
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IA
 11/08/2016 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) WAUPACA, WI
B
 11/08/2016 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) WAUPACA, WI
IA
 10/17/2012 - 11/09/2016 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) WAUPACA, WI
B
 10/08/2012 - 11/09/2016 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) WAUPACA, WI
IA
 10/20/2011 - 10/09/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) WAUPACA, WI
B
 08/31/2011 - 10/09/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) WAUPACA, 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.