WG
William F. Garbarino
Some features on this profile are disabled
CRD#: 730278
WG
Professional summary
William Francis Garbarino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, William had worked at 5 firms, which includes OSAIC FA INC., RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 4, 2009 - April 20, 2017
OSAIC FA, INC.
RIA
CRD#: 3978
DANBURY, CT
Past
May 1, 2009 - April 20, 2017
OSAIC FA, INC.
BD
CRD#: 3978
DANBURY, CT
Past
January 2, 2009 - May 1, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAINT PETERSBURG, FL
Past
November 14, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
DANBURY, CT
Past
November 10, 2005 - May 1, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DANBURY, CT
Past
April 5, 1999 - November 15, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DANBURY, CT
Past
March 9, 1999 - November 15, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 18, 1981 - February 9, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/22/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OSAIC FA, INC.
A LIFE WELL SPENT | JMG AND ASSOCIATES | JAMES KUEKAN INSURANCE AND FINANCIAL PLANNING | JAKE JACKLICH FINANCIAL PLANNING | J.F.C. | IRON LEGACY WEALTH ADVISORS | INTENTIONAL ADVISORS | INTEGRITY FINANCIAL PLANNING | INTEGRATED WEALTH MANAGMENT | INTEGRATED FINANCIAL PARTNERS, INC. | INSPIRE FINANCE DSM | INPOWER YOUR FUTURE | INGLESIDE FINANCIAL GROUP | INDEPENDENT PHARMACY CONSULTING GROUP | IMPACT FINANCIAL PLANNING | HOROWITZ ASSOCIATES | HOLDING WEALTH MANAGEMENT | HINSON WEALTH MANAGEMENT GROUP | HILDENE FINANCIAL GROUP | HERITAGE FINANCIAL CONSULTANTS, LLC | HENRY G. MAUTNER & ASSOCIATES | HENDRIXSON PINOLA FINANCIAL SERVICES | HAWTHORN WEALTH MANAGEMENT | HAWTHORN INVESTMENT CENTER | HARTFIELD ADVISORS INC. | HACKETT WEALTH MANAGEMENT | GWYNN, MOORE, & ASSOCIATES, INC. | GROSSMAN FINANCIAL PLANNING GROUP | GREGORY & ASSOCIATES | GRECO-NADER WEALTH NAVIGATION | GRANITE CAPITAL MANAGEMENT | GRAEF FINANCIAL GROUP | GPS FINANCIAL PLANNING | GPS FINANCIAL PLANNIN | GO STRATEGIC ADVISORY | GO FOR ANSWERS | GIST WEALTH MANAGEMENT | GERNON, MUTH & ASSOCIATES | GENERATION CAPITAL GROUP | GANNETT PEAK WEALTH STRATEGIES | GAME PLAN RETIREMENT | G.S.W. WEALTH MANAGEMENT | FUSION WEALTH ADVISORS | FROST FINANCIAL | FRIEL ASSOCIATES | FREEDOM PLANNING & WEALTH ADVISORS | FREEDOM FINANCIAL SOLUTIONS LLC | FREEDOM FINANCIAL GROUP | FOUNTAIN CITY FINANCIAL LLC | FORTRESS WEALTH & RETIREMENT | FIRST WESTROADS INVESTMENT CENTRE | FIRST FINANCIAL GROUP OF THE SOUTH, INC. | FIRST FINANCIAL GROUP OF THE SOUTH WEALTH MANAGEMENT | FIRST FINANCIAL GROUP OF THE SOUTH | FINTURITY | FINANCIAL STRATEGIES CORPORATION | FINANCIAL FITNESS ADVISORS | FINANCIAL EDGE | FINANCIAL CENTER FOR WOMEN | FARM LEGACY ADVISORS | FAMILYWEALTH MANAGEMENT GROUP, LLC | FAMILY, WEALTH & LEGACY, LLC | FAMILY WEALTH DECISIONS GROUP | FAMILY WEALTH & LEGACY | FALK FINANCIAL | FAIRVIEW FINANCIAL ADVISORS | FAIR HAVEN FINANCIAL PLANNING | EXECUTIVE WEALTH PARTNERS | EVERGREEN RETIREMENT SERVICES | ESTATE & LEGACY FINANCIAL SOLUTIONS | EQUITY STRATEGIES GROUP | EQUANIMITY WEALTH PLANNING AND INVESTING | ENVISION WEALTH MANAGEMENT | ELS VISION WEALTH MANAGEMENT | ELEVATE360 WEALTH SOLUTIONS | ELEVATE360 WEALTH | ECONOMIC PLANNING GROUP | EASTBURN & ASSOCIATES WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DRISCOLL WEALTH MANAGEMENT | DOVER FINANCIAL PLANNING | DOUGHERTY & ASSOCIATES | DL VENN FINANCIAL SERVICES | DIERKS FINANCIAL | DEROSE FINANCIAL PLANNING GROUP | DENALI WEALTH MANAGEMENT | DELPHI WEALTH MANAGEMENT GROUP | DEL-ONE FEDERAL CREDIT UNION | CUSTER BURISH FINANCIAL SERVICES | CRF WEALTH ADVISORS, LLC | CRESCENDO WEALTH STRATEGIES | CREATIVE WEALTH STRATEGIES | CORNERSTONE FINANCIAL PARTNERS | CONTINUUM CONSULTING GROUP | CONSTRUCTION PLANNING GROUP | CLEVELAND FINANCIAL GROUP | CLEARVIEW FINANCIAL ADVISORS | CLAUSING FINANCIAL GROUP | CHRISTIAN LAVER & ASSOCIATES | CHARTER OAK WEALTH PARTNERS | CHARTER FINANCIAL GROUP | CHARPENTIER WEALTH STRATEGIES | CHAMBERS WEALTH MANAGEMENT SERVICES | CAWLEY WEALTH MANAGEMENT | CARRIAGE TRADE FINANCIAL SERVICES | CAPITAL WEALTH MANAGEMENT, LLC | CAPITAL CONFIDENCE ADVISORS | CAPITAL ACCOUNTS | C SOLUTIONS | BYRON YOUNG & ASSOCIATES, LLC | BUSSA FINANCIAL PARTNERS | BUSINESS TRANSFER CONSULTANTS | BULMAN FINANCIAL | BRIDGES WEALTH STRATEGIES | BREZDEN WEALTH ADVISORS | BOTTOMS FINANCIAL | BOLD VALUE | BLOCK CAPITAL ADVISORS SERVICES | BENTON & COMPANY | BENEFITS PLUS CONSULTING GROUP INC. | BELAY WEALTH PARTNERS | BATEMAN & CO. | BARRETT FINANCIAL | BAILEY WEALTH ADVISORS | ATLAS FINANCIAL | ATHENA WEALTH STRATEGIES | ASTYR WEALTH | ASCEND WEALTH PARTNERS, LLC | ASCEND WEALTH MANAGEMENT | ARTER FINANCIAL STRATEGIES | ARLEN FINANCIAL | ARISE WEALTH STRATEGIES | AMON & ASSOCIATES | AMERICAN BENEFIT CONSULTANTS, INC. | AINLEY FINANCIAL GROUP | AGRIBUSINESS SUCCESSION ADVISORS | AEVIDUM FINANCIAL SERVICES | AEGIS FINANCIAL PARTNERS | ADVANCED PLANNING GROUP OF NEW YORK | ACTUARIAL WEALTH MANAGEMENT | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORD & FONG WEALTH STRATEGIES | ACCESS ADVISORS, LLC | ACADEMY FINANCIAL, INC. | ABIKUS WEALTH MANAGEMENT, LLC...
CRD#: 3978 / SEC#: 801-42530, 8-14685
BD
Terminated by SEC on 03/30/2025
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1301 South Harrison Street, Fort Wayne, IN 46802
Mailing Address
P.o. Box 2239, Fort Wayne, IN 46801-2239
Phone number
(800) 237-3813
Established
Indiana since 10/08/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
1,607
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | SHAREHOLDER | |
| BONISTEEL, TIMOTHY DAVID | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4943070 |
| CAMPBELL, CLAUDE A. | ASSISTANT VICE PRESIDENT AND AML OFFICER | 5342571 |
| CORNICK, GREGORY ALLEN | CHAIRMAN AND DIRECTOR | 3132991 |
| DIMONDA, JOHN ROBERT | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1805436 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINOP AND TREASURER | 5675524 |
| SHEFTIC, JEFFREY JUDE | VICE PRESIDENT, CHIEF OPERATIONS OFFICER | 1881657 |
| WALTERS, EDWARD NIGEL | SENIOR VICE PRESIDENT | 2391434 |
Regulatory assets under management
| Total Number of Accounts | 103,063 |
| AUM (Assets Under Management) | $ 37,133,957,466 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2023 | ||
| 11/21/2022 |
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.
