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Registration History
19801985199019952000200520102015202020252 FIRMS2023 - Present (1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2005 - 2023 (17 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2003 - 2005 (2 years)BUBS PAINEWEBBER INC. (CRD# 8174)1997 - 2003 (5 years)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1995 - 1997 (2 years)BSECURITIES AMERICA, INC. (CRD# 10205)1994 - 1995 (1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)1993 - 1994 (<1 year)BMARKETING ONE SECURITIES, INC. (CRD# 16611)1992 - 1993 (1 year)BSENTRA SECURITIES CORPORATION (CRD# 10249)1987 - 1992 (4 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1985 - 1987 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1980 - 1985 (4 years)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2017 - 2023 (5 years)IASUNAMERICA SECURITIES, INC. (CRD# 20068)2003 - 2004 (1 year)IAUBS PAINEWEBBER INC. (CRD# 8174)1998 - 2003 (4 years)
Disclosure(s)
View By:
5/3/1994
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/1/2023

B
Oregon 9/1/2023

B
Arkansas 9/1/2023

B
Tennessee 9/1/2023

B
California 9/1/2023

B
Texas 9/1/2023

IA
California 9/1/2023

IA
Texas 11/6/2023

B
Idaho 9/1/2023

B
Utah 9/1/2023

B
Nevada 9/1/2023

B
Washington 9/1/2023

B
North Carolina 9/1/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
PRESCOTT VALLEY, AZ
Registered with this firm since 9/1/2023

B
OSAIC WEALTH, INC. (CRD#:23131)
PRESCOTT VALLEY, AZ
Registered with this firm since 9/1/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/17/2017 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) PRESCOTT VALLEY, AZ
B
10/31/2005 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) PRESCOTT VALLEY, AZ
B
01/10/2003 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
IA
03/21/2003 - 12/31/2004 SUNAMERICA SECURITIES, INC. (CRD#:20068) SPRECKELS, CA
IA
04/01/1998 - 01/30/2003 UBS PAINEWEBBER INC. (CRD#:8174) CARMEL, CA
B
11/12/1997 - 01/30/2003 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
09/18/1995 - 10/28/1997 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
07/18/1994 - 09/12/1995 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
B
09/20/1993 - 06/16/1994 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
03/19/1992 - 09/20/1993 MARKETING ONE SECURITIES, INC. (CRD#:16611) PORTLAND, OR
B
04/20/1987 - 03/30/1992 SENTRA SECURITIES CORPORATION (CRD#:10249) PHOENIX, AZ
B
01/18/1985 - 05/08/1987 PAINEWEBBER INCORPORATED (CRD#:8174)
B
07/01/1980 - 01/17/1985 DEAN WITTER REYNOLDS INC. (CRD#:7556)
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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.