John Y. Huber
Professional summary
John Yateman Huber IV, who also goes by John Yateman IV Huber, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. John has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 5, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Yateman Huber IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Yateman Huber IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 8765 E. Bell Road Suite 204, Scottsdale, AZ 85260September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 8765 E. Bell Road Suite 204, Scottsdale, AZ 85260October 31, 2005 - September 1, 2023
OSAIC SERVICES, INC.
October 31, 2005 - September 1, 2023
OSAIC SERVICES, INC.
September 21, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 12, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 24, 2003 - September 23, 2005
WEDBUSH SECURITIES INC.
July 1, 2003 - December 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 10, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 24, 1981 - August 2, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationFINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
