Useful Links

  • NetExchange Client

    • Your Osaic Account Login (Use Financial Organization Number 028 (if requested) and your account number or login name)

  • Osaic Wealth

    • Learn about my Broker / Dealer and Registered Investment Adviser

  • Pershing, LLC a subsidiary of Bank of New York Mellon Corp.

    • Provides clearing, custody and account reporting services to many of my clients

  • SIPC - Securities Investor Protection Corporation

    • Learn about the role of SIPC

  • FINRA - Financial Industry Regulatory Authority

    • Learn how we are regulated and some general information about investing

  • FINRA - BrokerCheck

    • Look up my record with FINRA

      PLEASE NOTE: The information being provided is strictly as a courtesy. When you link to any of the websites provided here, you are leaving this website. We make no representation as to the completeness or accuracy of information provided at these websites. The company is not liable for any direct or indirect technical or system issues or any consequences arising out of your access to, or your use of third-party technologies, websites, information, and programs made available through this website. When you access one of these websites, you are leaving our web site and assume total responsibility and risk for your use of the websites you are linking to.

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This communication is strictly intended for individuals residing in the states of AZ, CA, CO, ME, MA, NC and TX. No offers may be made or accepted from any resident outside the specific state(s) referenced. A broker-dealer, investment financial professional, BD agent, or IA rep may only transact business in a state if first registered or is excluded or exempt from state broker-dealer, investment adviser, BD agent, or IA registration requirements as appropriate. Follow-up: individualized responses to persons in a state by such a Firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion. For information concerning the licensing status or disciplinary history of a broker-dealer, investment, adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.