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Detailed Report
MARK JAY NAPOLIN
MARK J NAPOLIN
CRD#: 824546
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 6101 MOON STREET N.E.
SUITE 3000
ALBUQUERQUE, NM 87111
Registration History
19801985199019952000200520102015202020252 FIRMS1976 - 1983 (7 years)2 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - Present (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)2000 - 2009 (9 years)BCAPITAL BROKERAGE CORPORATION (CRD# 10465)1997 - 2000 (2 years)BFORTH FINANCIAL SECURITIES, CO... (CRD# 14363)1996 - 1997 (1 year)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1990 - 1996 (6 years)BTRANSAMERICA SECURITIES SALES ... (CRD# 17970)1987 - 1990 (3 years)BTRANSAMERICA FINANCIAL RESOURC... (CRD# 3600)1984 - 1990 (6 years)IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)2002 - 2009 (6 years)
License(s)

State Registrations

B
Arizona 6/27/2019
B
Nevada 6/27/2019
B
California 11/2/2018
B
New Mexico 11/2/2018
B
Colorado 11/2/2018
IA
New Mexico 11/2/2018
B
Florida 11/2/2018
B
New York 11/2/2018
B
Georgia 11/2/2018
B
South Carolina 2/4/2021
B
Idaho 9/30/2020
B
Texas 11/2/2018
B
Louisiana 11/2/2018
B
Utah 11/2/2018
B
Maryland 11/2/2018
B
Virginia 7/27/2022
B
Massachusetts 11/2/2018
B
Washington 6/27/2019
B
Montana 3/4/2021

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
6101 MOON STREET N.E. SUITE 3000, ALBUQUERQUE, NM 87111
Registered with this firm since 11/2/2018
B
OSAIC WEALTH, INC. (CRD#:23131)
6101 MOON STREET N.E. SUITE 3000, ALBUQUERQUE, NM 87111
Registered with this firm since 11/2/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ALBUQUERQUE, NM
B
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ALBUQUERQUE, NM
IA
 09/04/2009 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) ALBUQUERQUE, NM
B
 09/04/2009 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) ALBUQUERQUE, NM
IA
 10/23/2002 - 09/04/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) ALBUQUERQUE, NM
B
 02/18/2000 - 09/04/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) ALBUQUERQUE, NM
B
 12/01/1997 - 02/18/2000 CAPITAL BROKERAGE CORPORATION (CRD#:10465) GLEN ALLEN, VA
B
 10/18/1996 - 12/01/1997 FORTH FINANCIAL SECURITIES, CORPORATION (CRD#:14363) RICHMOND, VA
B
 06/04/1990 - 10/23/1996 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
 03/06/1987 - 06/05/1990 TRANSAMERICA SECURITIES SALES CORPORATION (CRD#:17970) LOS ANGELES, CA
B
 05/14/1984 - 06/05/1990 TRANSAMERICA FINANCIAL RESOURCES, INC. (CRD#:3600) LOS ANGELES, CA
B
 07/13/1976 - 11/15/1983 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)
B
 07/13/1976 - 11/15/1983 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181)
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.