# OSAIC FA, INC.

> FINRA firm 3978 · 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:** 3978
- **Firm name:** OSAIC FA, INC.
- **Other names:** 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...
- **Investment Adviser scope:** INACTIVE
- **SEC IA file number:** 801-42530
- **SEC BD file number:** 8-14685
- **Branches:** 0
- **Has disclosure events:** YES
- **Headquarters:** FORT WAYNE, IN, 46802, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/3978

## Citation

> FINRA BrokerCheck, firm 3978 (OSAIC FA, INC.). Retrieved via AI Analytics 2026-07-14 from https://api.ai-analytics.org/broker/3978.

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