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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-10-04
  • NY RA
    APPROVED
    Since 2023-10-04

Branch Locations

1615 Northern Blvd Suite 304, Manhasset, NY 11030 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Santander Bank, Na Boston MA 08/2015 09/2023
Santander Securities, Llc Dorchester MA 09/2015 01/2023
Santander Securities, Llc Dorchester MA 01/2023 09/2023
Osaic Wealth, Inc Manhasset NY 10/2023 Present
Previous Registrations
  • 2015-09-11 → 2023-09-05
    Bronx, NY
    Brooklyn, NY
    Scotch Plains, NJ
    Melville, NY
    Somerville, NJ
    Forest Hills, NY
    Garden City, NY
    Short Hills, NJ
    Williston Park, NY
    Manhasset, NY
    New York, NY
    Great Neck, NY
    Garden City, NY
    Melville, NY
    Howard Beach, NY
    South Richmond Hill, NY
    Long Island City, NY
    Jackson Heights, NY
    South Richmond Hill, NY
    Garden City, NY
    Melville, NY
    Melville, NY
    South Richmond Hill, NY
    Great Neck, NY
    Manhasset, NY
  • 2012-10-01 → 2015-07-09
    Howard Beach, NY
    Ozone Park, NY
    Ozone Park, NY
    South Richmond Hill, NY
    Sunnyside, NY
  • 2012-04-05 → 2012-10-01
    Chase Investment Services Corp.
    Ozone Park, NY
    Howard Beach, NY
  • 2009-10-23 → 2012-04-04
    Rosedale, NY
    Brooklyn, NY
    St. Albans, NY
    Springfield, NY
    Greenwich, CT
    Greenwich, CT
    Forest Hills, NY
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Jamaica, NY
    Flushing, NY
    Greenwich, CT
    Brooklyn, NY
    Brooklyn, NY
    Rosedale, NY
    St. Albans, NY
    Greenwich, CT
    Springfield, NY
  • 2002-11-25 → 2004-10-20
    Quick & Reilly, Inc.
    Rosedale, NY
Other Businesses

OAKFIELD WEALTH MANAGEMENT GROUP LLC POSITION: Contractor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/02/2023 ADDRESS: 191 Oakfield Ave, Dix Hills NY 11746, United States DESCRIPTION: Financial Service

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-06
S63 Uniform Securities Agent State Law Examination 1998-06-25
  • S65 Uniform Investment Adviser Law Examination
    1999-10-06
  • S63 Uniform Securities Agent State Law Examination
    1998-06-25

View on SEC IAPD

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