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OSAIC FS, INC.
ACORN TAX AND WEALTH ADVISORS, ZIRCON FINANCIAL SERVICES, XEO WEALTH PLANNING, WINDWARD FINANCIAL STRATEGIES, WEALTH ADVISORS OF RALEIGH, INC…
CRD#: 3870/SEC#: 801-23151,8-14609
B
Brokerage Firm Regulated by FINRA (Chicago district office)
PR
Previously Registered Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
1301 SOUTH HARRISON STREET
FORT WAYNE, IN 46802 UNITED STATES
Disclosures
28 Total Disclosures
22Regulatory Event6Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 1301 SOUTH HARRISON STREET
FORT WAYNE, IN 46802 UNITED STATES
Mailing Address P.O. BOX 2239
FORT WAYNE, IN 46801-2239 UNITED STATES
Phone800-258-3648
Established inNew Hampshire since 01/21/1969
TypeCorporation
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
OSAIC HOLDINGS, INC. SHAREHOLDER
BONISTEEL, TIMOTHY DAVID (CRD#:4943070) ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
CAMPBELL, CLAUDE A. (CRD#:5342571) ASSISTANT VICE PRESIDENT AND AML OFFICER
CORNICK, GREGORY ALLEN (CRD#:3132991) CHAIRMAN AND DIRECTOR
DIMONDA, JOHN ROBERT (CRD#:1805436) PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR
SCHLUETER, MATTHEW ADAM (CRD#:2627931) EXECUTIVE VICE PRESIDENT AND DIRECTOR
SCHMIDT, DAVID MARTIN (CRD#:5675524) FINOP AND TREASURER
SHEFTIC, JEFFREY JUDE (CRD#:1881657) VICE PRESIDENT, CHIEF OPERATIONS OFFICER
WALTERS, EDWARD NIGEL (CRD#:2391434) SENIOR VICE PRESIDENT
OSAIC HOLDINGS, INC.
SHAREHOLDER

ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

ASSISTANT VICE PRESIDENT AND AML OFFICER


PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR

EXECUTIVE VICE PRESIDENT AND DIRECTOR


VICE PRESIDENT, CHIEF OPERATIONS OFFICER


Licenses
8 U.S. States and Territories
B
California

B
Florida

B
Hawaii

B
Mississippi

B
Montana

B
Puerto Rico

B
Tennessee

B
Texas

Other Registrations
Self-Regulatory Organizations
FINRA
This firm conducts 5 types of business

This firm is affiliated with financial and investment institutions

This firm does have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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.

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