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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2026-02-02
  • MN RA
    APPROVED
    Since 2026-02-02

Branch Locations

5353 Wayzata Boulevard Suite 602, St Louis Park, MN 55416 • United States

310 Riverside Drive Suite 1420, New York, NY 10025 • 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
Cetera Wealth Services, Llc El Segundo CA 12/2015 01/2026
Cetera Advisors Llc Denver CO 12/2015 01/2019
Cetera Financial Specialists Llc Schaumburg IL 12/2015 01/2019
Cetera Investment Services Llc Saint Cloud MN 12/2015 01/2019
First Allied Securities, Inc. San Diego CA 12/2015 01/2019
Investors Capital Corp. Lynnfield MA 12/2015 11/2016
Legend Equities Corporation Palm Beach Gardens FL 12/2015 12/2016
Summit Brokerage Services, Inc. Boca Raton FL 12/2015 01/2019
Girard Securities, Inc. San Diego CA 12/2015 11/2017
Vsr Financial Services, Inc. Overland Pakr KS 12/2015 11/2016
Cetera Investment Advisers Llc Schaumburg IL 06/2023 01/2026
Osaic New York NY 01/2026 Present
  • 12/2015 → 01/2026
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2015 → 01/2019
    Cetera Advisors Llc
    Denver, CO
  • 12/2015 → 01/2019
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2015 → 01/2019
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 12/2015 → 01/2019
    First Allied Securities, Inc.
    San Diego, CA
  • 12/2015 → 11/2016
    Investors Capital Corp.
    Lynnfield, MA
  • 12/2015 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 12/2015 → 01/2019
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 12/2015 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 12/2015 → 11/2016
    Vsr Financial Services, Inc.
    Overland Pakr, KS
  • 06/2023 → 01/2026
    Schaumburg, IL
  • 01/2026 → Present
    Osaic
    New York, NY
Previous Registrations
  • 2023-06-29 → 2026-01-26
    Minnetonka, MN
    Cambridge, MN
  • 2014-01-08 → 2023-06-29
    Cetera Wealth Services, Llc
    Edina, MN
    Minnetonka, MN
    Minnetonka, MN
    Minnetonka, MN
    Little Canada, MN
    El Segundo, CA
    Atlanta, GA
    Minnetonka, MN
    Cambridge, MN
Other Businesses

1. AFFILIATED ADVISORS POSITION: FLS NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/26/2026 ADDRESS: 5353 Wayzata Blvd, suite 602, St Louis Park MN 55416, United States DESCRIPTION: DBA disclosure only

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-07-17
  • S63 Uniform Securities Agent State Law Examination
    2007-07-17
Other Names
  • Julie Ann Fossum
  • Julie Ann Lockwood

View on SEC IAPD

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