Udochi M. Osuagwu
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.
Udochi Magzy Osuagwu, who also goes by Udochi Magzy Osuagwu Jr., Udochi Udochi Osuagwu Jr., Max Osuagwu, Uddy Max Osuagwu, Uddy Osuagwu, Udochi Magzy Osuagwu Jr, Udochi Max Osuagwu Jr, Udochi Osuagwu, was a registered financial professional .
Udochi is a previously registered financial professional and started their career in finance in 2016. Udochi had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2020 - February 18, 2021
BANKERS LIFE ADVISORY SERVICES, INC.
November 16, 2020 - February 18, 2021
BANKERS LIFE SECURITIES, INC.
January 31, 2020 - May 11, 2020
EDWARD JONES
January 31, 2020 - May 11, 2020
EDWARD JONES
June 10, 2019 - January 21, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 2018 - January 21, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2016 - November 23, 2018
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
Series 7TO
Date: 2/1/2019
General Securities Representative ExaminationCurrent Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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