# OSAIC FS, INC.

> FINRA firm 3870 · INACTIVE · **⚠ HAS DISCLOSURE EVENTS** · FORT WAYNE, IN

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 3870
- **Firm name:** OSAIC FS, INC.
- **Other names:** ACORN TAX AND WEALTH ADVISORS, ZIRCON FINANCIAL SERVICES, XEO WEALTH PLANNING, WINDWARD FINANCIAL STRATEGIES, WEALTH ADVISORS OF RALEIGH, INC, WASATCH CAPITAL RESOURCES, THOROUGHBRED FINANCIAL AGENCY, THOMAS MOORE FINANCIAL SERVICES, THOMAS DONAHUE & ASSOCIATES DBA DONAHUE FINANCIAL MANAGEMENT GROUP, THE CAPITAL PLANNING GROUP, TEWES WEALTH MANAGEMENT, TEIXEIRA FINANCIAL  GROUP, TCFN (THE CAROLINAS FINANCIAL NETWORK), TAX & FINANCIAL PARTNERS INC, TAUZIN FINANCIAL GROUP, TARA FINANCIAL GROUP, SUMMIT PLANNING GROUP, SUCCESSFUL FINANCIAL MANAGEMENT, STRATEGIC WEALTH PLANNERS, LLC, STEPHEN B. EBBECKE & ASSOCIATES, SIGNATURE FINANCIAL SERVICES GROUP, LLC, SHORELINE WEALTH MANAGEMENT, SAGE WEALTH PARTNERS, SAGE FINANCIAL INNOVATIONS, SAGE FINANCIAL, S.A.MAPES WEALTH MANAGEMENT GROUP LLC, RUBY FINANCIAL PLANNING, RONALD KYZAR FINANCIAL SERVICES, RISE UP FINANCIAL, REYNOLDS FINANCIAL ADVISORS, QUINONES FINANCIAL GROUP LLC, QUANTUM WEALTH ADVISORS, LLC, PROVIDENCE PARTNERS, PRINCIPLES OF FINANCIAL PLANNING, PREMIER ADVISOR GROUP LLC, PILOT FINANCIAL, PHOENIX WEALTH PARTNERS LLC, PERRY PLANNING GROUP, PASSMORE PLANNING PROFESSIONALS, PARTNERS FINANCIAL SERVICES, PARABLE WEALTH MANAGEMENT, OSAIC FS, INC., ONLY FINANCE LLC, OAKHOUSE ADVISORS, NUTMEG ADVISORY GROUP, NEW BEGINNINGS WEALTH ADVISORS, NATHAN LEE WEALTH MANAGEMENT LLC, MOULTON FINANCIAL GROUP, MONEY MATTERS OF AMERICA, INC, MMC BENEFITS LLC, MCWILLIAMS FINANCIAL GROUP, MAJEWSKI WEALTH MANAGEMENT, MAINSTAY FINANCIAL LLC, M.A.T. FINANCIAL SERVICES, LOWERY FINANCIAL, LOURDES CORUJO FINANCIAL SERVICES, LINDLOFF WEALTH ADVISORS, LINDA CORUJO RETIREMENT CENTER, LINCOLN FINANCIAL SECURITIES CORPORATION, LENNOX INSURANCE AND FINANCIAL LLC, LEGACY PLANNING SOLUTIONS, LAURA TETER, LANDMARK INSURANCE & FINANCIAL GROUP, INC., KOLIBRI FINANCIAL GROUP, KMK FINANCIAL GROUP, KENSINGTON FINANCIAL SERVICES, INC., KEM WEALTH MANAGEMENT, KEENA WEALTH, INC., JOHN AZZARA ASSOCIATES, JMG WEALTH MANAGEMENT, JESSICA C LAMB, FINANCIAL ADVISOR, JEFFERSON PILOT SECURITIES CORPORATION, JEFFERSON PILOT SECURITIES CORP, JEFFERSON FINANCIAL GROUP, HYNES BENEFITS FINANCIAL SERVICES, HORIZON FINANCIAL ADVISORS, HERITAGE ADVISORY GROUP, HEALTH & WEALTH PARTNERS LLC, HATTERAS WEALTH MANAGEMENT, HARRIS WEALTH MANAGEMENT, HARRIS & COMPANY WEALTH MANAGEMENT, HAIRSTON, JOHNSON & ASSOCIATES, GV. FINANCIAL, GROTHAUS FINANCIAL GROUP, GREENE & ASSOCIATES INTEGRATED RETIREMENT STRATEGIES, GOING FINANCIAL, GERMANO FINANCIAL, GALLAGHER - HEFFERON ADVISORS, FORWARD FINANCIAL LLC, FORT BEND FINANCIAL, FISCALLY FIT WEALTH STRATEGIES, FIRST HEARTLAND FINANCIAL GROUP, FINANCIAL CONCEPTS INSURANCE & FINANCIAL SERVICES, FARM FINANCIAL STRATEGIES, INC., FAITH FINANCIAL, EUGENE W. HARRIS & CO., ENGLER FINANCIAL, DIFEDERICO FINANCIAL, DEBRA L IANUCCI INSURANCE AGENCY, INC DBA DISTINCTIVE FINANCIAL, DAWN GORDON FINANCIAL ADVISORS, DALA FINANCIAL SERVICES, LLC, CREATIVE FINANCIAL STRATEGIES, CORUJO ADVISORY GROUP, LLC, COMPSTON WEALTH MANAGEMENT, COMPREHENSIVE FINANCIAL ADVISORS, LLC, CHUBB SECURITIES CORPORATION, CHISHOLM TRAIL FINANCIAL GROUP, CHARTERED FINANCIAL PLANNING ASSOCIATES LTD, CFS OF PUERTO RICO, CATALDO FINANCIAL GROUP, CAPUTO FINANCIAL GROUP, LLC, C. BEACH BROWN, BCR FINANCIAL SERVICES, BAUMANN FINANCIAL, BAREFOOT FINANCIAL PLANNING, BALDWIN & CLARK ADVISOR SERVICES, APPALACHIAN WEALTH MANAGEMENT, AMERICAN WEALTH MANAGEMENT, ALPHA OMEGA WEALTH PARTNERS, ALL AMERICAN WEALTH, ADVISORS FINANCIAL GROUP
- **Investment Adviser scope:** INACTIVE
- **SEC IA file number:** 801-23151
- **SEC BD file number:** 8-14609
- **Branches:** 0
- **Has disclosure events:** YES
- **Headquarters:** FORT WAYNE, IN, 46802, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/3870

## Citation

> FINRA BrokerCheck, firm 3870 (OSAIC FS, INC.). Retrieved via AI Analytics 2026-07-14 from https://api.ai-analytics.org/broker/3870.

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