JC
June Y. Chin
SOUTHLAND EQUITY PARTNERS.
New York, NY 10013
Some features on this profile are disabled
CRD#: 2609596
JC
Professional summary
June Yuejiao Wang Chin, who also goes by June Yue Jiao Wang Chin, June Wang, Yuejiao Wang, June Wang-chin, is a registered financial advisor currently at SOUTHLAND EQUITY PARTNERS, LLC. located in New York, New York and OSAIC WEALTH, INC. located in New York, New York.
June is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. June has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
June Yue Jiao Wang Chin | June Wang | Yuejiao Wang | June Wang-Chin
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) REAL ESTATE MANAGEMENT WHITH PROPERTY LOCATED IN DOWNTOWN MANHATTAN, NY. ADDRESS 200 RECTOR PLACE - 32C, NEW YORK, NY 10280. 380 RECTOR PLACE- 5N, NEW YORK, NY 10280. 99 BATTERY PLACE - 17K, NEW YORK, NY 10280.11 EAST BROADWAY 9A; NEW YORK, NY 10013. 70 LITTLE WEST STREET- 3J, NEW YORK, NY 10004; OWNER OF THE CONDO PROPERTY, COLLECT RENT. 2) MORTGAGE BROKERAGE, PORTICO MORTGAGE; NOT INVESTMENT RELATED; 139 CENTRE STREET SUITE 806, NEW YORK, NY 10013; PROVIDE LOANS WITH FUNDS PROVIDED BY THIRD PARTY LENDERS; ASSISTANT MANAGER; START DATE: 2005; 4 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITY TRADING HRS; VERIFY THE EXPENSE PAYMENT ON A MONTHLY BASIS. 3) THE CORCORAN GROUP; NOT INVESTMENT RELATED; 36 EAST 12TH STREET, NEW YORK, NY 10003; SALES REPRESENTATIVE; SINCE 3/1/11; 12; 0; LICENSED REAL ESTATE SALES REPRESENTATIVE, SHOW APARTMENTS TO POTENTIAL CLIENT ON SUNDAYS ONLY. 4) PINNACLE MURRAY REALTY LLC/PORTICO REAL ESTATE MANAGEMENT LLC/PORTICO 55 REALTY LLC/ PORTICO BROADWAY LLC/PINNACLE 139 REALTY LLC/PORTICO CAPITAL LLC POST: Owner - NATURE: Limited Liability Company INVESTMENT RELATED: No NUMBER OF HOURS: 1 SEC TRD HOURS: 0 START DATE: 4/23/07 ADD: 11 east Broadway, 9A, 30 west st, apt 33A, NY 10004, 139 centre st, 808,NY 10013 DESCR: collect rent 5) SOUTHLAND EQUITY PARTNERS; POST: ADVISOR; NATURE: LLC; INVESTMENT RELATED: YES; # OF HRS: 40; SEC TRD HOURS: 40; START DATE: 3/30/15; ADD: 139 CENTRE STREET SUITE 806A, NEW YORK NY 10013 DESCR: ADVISORY SERVICES TO THE CLIENTS. 6)PINNACLE 139 FINANCIAL GROUP INC. A/K/A PINNACLE FINANCIAL POST: Owner - NATURE: Corporation - INVESTMENT RELATED: Yes # OF HRS: 40 SEC TRD HOURS: 40 START DATE: 1/30/10 ADD: 139 Centre st, ste 806, new york NY 10013 DESCR: Sell fixed life insurance 7) CORCORAN GROUP POST: Other/independent agent NATURE: Other/Independent associated real estate broker INVESTMENT RELATED: Yes # OF HRS: 8 SEC TRD HRS:0 START DATE:4/12/11 ADD:30 Irving place 5th FL new York, NY 10003 DESCR: show apts On sunday. 8) TRUSTEE POST: Trustee NATURE: Grantor Trust INV RELATED: Yes # OF HOURS: 0 SEC TRD HRS: 0 START DATE: 4/11/15 ADD: 376 Broadway, ste 20E, new York NY 10013 DESCR: husband's trust: Open bank and securities accounts & pay life insurance premium. 9)JUNE CHIN POST: Owner NATURE: Sole Proprietorship INV RELATED: Yes # OF HRS: 1 SEC TRD HRS:0 START DATE: 1/1/11 ADD: 30 West St Apt. 33A New York, NY 10004 DESCR: Collecting rent payments from tenant. 10) PORTICO CAPITAL HOLDINGS, L.P. POST: owner NATURE: Holding of investment INV RELATED: No # OF HRS: 0 SEC TRD HRS: 0 START DATE: 12/21/16 ADD:139 Centre St, 808, New York NY 10013 DESCR: open accounts for investment 11) LAW OFFICES OF CHRIS CHIN & ASSOCIATES POST: coordinator NATURE: law firm INV RELATED: No # OF HRS: 5 SEC TRD HRS: 0 START DATE: 4/19/19 ADD: 139 Centre St, 808, New York NY 10013 DESCR: review the questionnaire of the clientâ??s information. 12) PINNACLE CENTRIA REALTY LLC POST: Owner NATURE: Real estate holding INV RELATED: No # OF HRS: 0 SEC TRD HRS: 0 START DATE: 8/16/19 ADD: 139 Centre St, STE 808, New York NY 10013 DESCR: owner of the property 13) PORTICO MANAGEMENT INC. POST: Pres NATURE: S Corp INV RELATED: Yes # OF HRS: 0 SEC TRD HRS: 0 START DATE: 9/23/16 ADD: 139 Centre St, STE 808, New York NY 10013, DESCR: holding company/no duty/just ownership. 14)TWO SPRING INVESTORS LLC POST: manager NATURE: LLC INV RELATED: Yes # OF HOURS: 0 SEC. TRD HOURS: 0 START DATE:10/12/23 ADD: 139 Centre St, Ste 806, New York NY 10013 DESCR.: decision maker of invest. strictly for purposes of managing decisions for the benefit of the family, without power to distribute to myself. 15. CORCORAN POST: independent agent NATURE: independent associated real estate broker INVESTMENT RELATED: Yes #OF HOURS: 8 SEC. TRD HOURS: 0 START DATE: 01/05/2024 ADD: 590 Madison Avenue, NEW YORK NY 10022, United States DESCR: show the Apts on Saturday or Sunday
CRS (Client Relationship Summary) - RIA
Click below to view June Yuejiao Wang Chin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view June Yuejiao Wang Chin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 8, 2019 - Present
SOUTHLAND EQUITY PARTNERS, LLC.
Office #1: 139 Centre Street Suite 806a, New York, NY 10013RIA
CRD#: 154481
New York, NY
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 139 Centre Street Suite 806a, New York, NY 10013RIA
BD
CRD#: 23131
New York, NY
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 139 Centre Street Suite 806a, New York, NY 10013RIA
BD
CRD#: 23131
New York, NY
Past
October 1, 2014 - December 31, 2016
SOUTHLAND EQUITY PARTNERS, LLC.
RIA
CRD#: 154481
NEW YORK, NY
Past
October 28, 2010 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
NEW YORK, NY
Past
July 6, 2009 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
NEW YORK, NY
Past
May 10, 1995 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
HAUPPAUGE, NY
Past
May 10, 1995 - July 7, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HAUPPAUGE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(5/8/2019)
RR
California(11/3/2023)
RR
Florida(11/3/2023)
IAR
Florida(11/3/2023)
RR
Georgia(11/3/2023)
IAR
Georgia(11/3/2023)
RR
Massachusetts(11/3/2023)
IAR
Massachusetts(11/3/2023)
RR
Nevada(11/3/2023)
RR
New Hampshire(3/10/2025)
RR
New Jersey(11/3/2023)
IAR
New Jersey(11/3/2023)
RR
New York(11/3/2023)
IAR
New York(11/3/2023)
RR
North Carolina(11/3/2023)
RR
Pennsylvania(11/3/2023)
IAR
Pennsylvania(11/3/2023)
RR
South Carolina(11/3/2023)
RR
Texas(11/3/2023)
IAR
Texas(11/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Mailing Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 821-5100
Established
Delaware since 08/05/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
8,717
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.
