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Registration History
1985199019952000200520102015202020252 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - 2019 (4 years)2 FIRMS2019 - 2024 (4 years)2 FIRMS2024 - Present (1 year)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2006 (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2001 - 2005 (4 years)BMACKEN SECURITIES, INC. (CRD# 13390)2000 - 2001 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1994 - 2000 (6 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1981 - 1994 (12 years)BIDS FINANCIAL SERVICES INC. (CRD# 6320)1982 - 1986 (4 years)IATHE HOUSEHOLDER GROUP, ESTATE ... (CRD# 107773)2002 - 2006 (4 years)
Disclosure(s)
View By:
8/26/2021
Customer Dispute
Settled
6/3/2021
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona

B
Nevada

IA
Arizona

B
North Dakota

B
California

B
Ohio

B
Colorado

B
Oregon

B
Florida

B
South Dakota

B
Iowa

B
Virginia

B
Minnesota

B
Wisconsin

B
Nebraska

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
OSAIC WEALTH, INC. (CRD#:23131)
GOODYEAR, AZ
Registered with this firm since 1/19/2024

IA
OSAIC WEALTH, INC. (CRD#:23131)
GOODYEAR, AZ
Registered with this firm since 1/19/2024

Previous Registration(s)
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IA
03/01/2019 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GOODYEAR, AZ
B
03/01/2019 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GOODYEAR, AZ
IA
09/10/2014 - 03/01/2019 QUESTAR ASSET MANAGEMENT, INC. (CRD#:133358) GOODYEAR, AZ
B
09/02/2014 - 03/01/2019 QUESTAR CAPITAL CORPORATION (CRD#:43100) GOODYEAR, AZ
IA
06/23/2009 - 09/08/2014 SUMMIT FINANCIAL GROUP INC (CRD#:109485) TORRANCE, CA
B
06/10/2009 - 09/08/2014 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) TORRANCE, CA
IA
04/11/2006 - 06/16/2009 LPL FINANCIAL CORPORATION (CRD#:6413) TORRANCE, CA
B
04/10/2006 - 06/16/2009 LPL FINANCIAL CORPORATION (CRD#:6413) TORRANCE, CA
IA
02/04/2002 - 11/09/2006 THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS (CRD#:107773) TORRANCE, CA
B
10/31/2005 - 04/20/2006 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) TORRANCE, CA
B
09/25/2001 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
09/28/2000 - 06/07/2001 MACKEN SECURITIES, INC. (CRD#:13390) ROSEVILLE, CA
B
09/30/1994 - 09/26/2000 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
10/05/1981 - 09/13/1994 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
08/26/1982 - 12/24/1986 IDS FINANCIAL SERVICES INC. (CRD#:6320)
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.

Click here for more information about how to check on an investment professional.

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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