Investors apparently complained about securities broker Steven Patrick McCormick [CRD: 5059233, Simi Valley, California], according to disclosures on FINRA BrokerCheck. According to the regulator, McCormick worked for Osaic Wealth Inc. from January 19, 2024, to October 23, 2024; Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024; and Questar Capital Corporation from […]

Investors potentially experienced losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. According to the regulator, Potratz has worked for Osaic Wealth Inc. since November 3, 2023. Before that, he worked for FSC Securities Corporation from October 7, 2003, to November 3, 2023. Keep reading to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses information about securities broker / financial advisor Michael Harris Sears [CRD: 2205917, Englewood, Florida]. Sears has worked for several employers, including Osaic Wealth Inc. in Virginia Beach, Virginia, since January 19, 2024, and previously with Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024. He […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Marat Likhtenstein [CRD: 2470480, Brooklyn, New York]. Evidently, Likhtenstein worked for Osaic Wealth Inc. from November 2, 2018, to June 27, 2024. Keep reading to learn about Likhtenstein’s termination and FINRA's investigation, which resulted in his permanent bar from the industry. FINRA Launches Investigation […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Andrew Melikidse [CRD: 2353534, Studio City, California]. Melikidse worked for Osaic Wealth Inc. from September 1, 2023, to December 12, 2023, before his resignation. Prior to this, he worked for WM Financial Services Inc. and SagePoint Financial Inc. Below, investors can learn more about […]

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]

Financial Industry Regulatory Authority (FINRA) sanctioned David Victor Tall (also known as Dave Tall) [CRD: 1314547, Costa Mesa, California], according to disclosures on BrokerCheck. Evidently, David Tall worked for Osaic Wealth Inc. from September 1, 2023, to December 19, 2023, and Sagepoint Financial Inc. from October 31, 2005, to September 1, 2023. Keep reading to […]

Investors might have sustained losses due to securities broker Jack W. Yvars [CRD: 6377111, Concord, New Hampshire], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yvars has been registered with Osaic Wealth Inc. since November 2, 2018. This follows his previous registration with Signator Investors Inc., which lasted from June 22, 2016, […]