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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2026-08-06
CA RA APPROVED 2024-01-19
  • NH RA
    APPROVED
    Since 2026-08-06
  • CA RA
    APPROVED
    Since 2024-01-19

Branch Locations

21671 Gateway Center Dr Suite 112, Diamond Bar, CA 91765 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lincoln Financial Securities Corporation Torrance CA 04/2011 08/2020
Woodbury Financial Services Inc Diamond Bar CA 08/2020 01/2024
Osaic Wealth, Inc. Diamond Bar CA 01/2024 Present
  • 04/2011 → 08/2020
    Lincoln Financial Securities Corporation
    Torrance, CA
  • 08/2020 → 01/2024
    Woodbury Financial Services Inc
    Diamond Bar, CA
  • 01/2024 → Present
    Diamond Bar, CA
Previous Registrations
  • 2020-08-27 → 2024-01-19
    Woodbury Financial Services, Inc.
    Diamond Bar, CA
  • 2011-04-05 → 2020-09-02
    Osaic Fs, Inc.
    Torrance, CA
    Torrance, CA
    Raleigh, NC
  • 2006-08-24 → 2011-04-06
    Woodbury Financial Services, Inc.
    Costa Mesa, CA
    Costa Mesa, CA
Other Businesses

1. STRATEGIX REALTY INC. POSITION: Broker/Owner NATURE: S-Corp - Real Estate Brokerage Firm Buying and Selling Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2018 ADDRESS: 21151 S. Western Ave., Ste. 32, Torrance CA 90501, United States DESCRIPTION: Buy and Sell Real Estate for clients and manage my agents 2 NONE POSITION: Owner NATURE: None INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 2066 W 233RD ST, Torrance CA 90501, United States DESCRIPTION: landlord

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-19
S63 Uniform Securities Agent State Law Examination 2005-12-05
  • S65 Uniform Investment Adviser Law Examination
    2006-06-19
  • S63 Uniform Securities Agent State Law Examination
    2005-12-05
Other Names
  • Lisa Shigeta

View on SEC IAPD

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