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Detailed Report
STEPHEN CLARKE PITTS
STEPHEN C PITTS, STEPHEN CLARICE PITTS
CRD#: 851228
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 6924 LAKESIDE AVE
ROOM 302
HENRICO, VA 23228
Registration History
19801985199019952000200520102015202020252 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - Present (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2009 - 2016 (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)1995 - 2009 (14 years)BALLMERICA INVESTMENTS, INC. (CRD# 3960)1986 - 1995 (9 years)BTHE O.N. EQUITY SALES COMPANY (CRD# 2936)1978 - 1982 (4 years)IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2010 - 2016 (6 years)
License(s)

State Registrations

B
Arizona 3/2/2023
B
North Carolina 1/8/2020
B
Connecticut 1/29/2024
B
Oregon 1/27/2020
B
Florida 1/8/2020
B
Pennsylvania 6/16/2022
B
Georgia 6/16/2022
B
Rhode Island 2/2/2021
B
Michigan 6/25/2020
B
Virginia 11/2/2018
B
Montana 6/25/2020
IA
Virginia 11/2/2018
B
New Jersey 1/8/2020

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)
6924 LAKESIDE AVE ROOM 302, HENRICO, VA 23228
Registered with this firm since 11/2/2018
B
OSAIC WEALTH, INC. (CRD#:23131)
6924 LAKESIDE AVE ROOM 302, HENRICO, VA 23228
Registered with this firm since 11/2/2018
Previous Registration(s)
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IA
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) HENRICO, VA
B
 05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) HENRICO, VA
IA
 03/15/2010 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) NORTH CHESTERFIELD, VA
B
 09/04/2009 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) NORTH CHESTERFIELD, VA
B
 05/08/1995 - 09/04/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) RICHMOND, VA
B
 01/06/1986 - 05/18/1995 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
B
 04/21/1978 - 08/27/1982 THE O.N. EQUITY SALES COMPANY (CRD#:2936)
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.