Maurice V. Schriever
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maurice Vincent Schriever JR, who also goes by Maurice VIncent Scheiever Jr, was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1995. Maurice had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2024 - December 10, 2025
OSAIC WEALTH, INC.
June 14, 2024 - December 10, 2025
OSAIC WEALTH, INC.
October 27, 2009 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
October 23, 2009 - June 14, 2024
SECURITIES AMERICA, INC.
November 1, 2002 - June 19, 2009
WELLS FARGO INVESTMENTS, LLC
October 4, 2002 - June 19, 2009
WELLS FARGO INVESTMENTS, LLC
July 27, 2001 - October 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2001 - October 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 12, 1995 - March 16, 2001
AMERIPRISE ADVISOR SERVICES, 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
Exams
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.