Osaic Wealth Complaints - Law Offices of Robert Wayne Pearce, P.A

Dec 14, 2024

Mary Beth Spuhler Formerly With Osaic Wealth, Inc. FIRED

Mary Beth Spuhler who was formerly registered as a broker with Osaic Wealth, Inc. and located in Camp Hill, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Mary Beth Fisher Spuhler has over 45 years of experience in the financial services industry. She has worked with five firms, including OSAIC Wealth, Inc. (2024), Securities America, Inc. (2017–2024), and MML Investors Services, LLC (1986–2012). Spuhler has passed three general industry exams and one multi-state securities law exam. Her professional designation includes being a Chartered Financial Consultant. Her most recent role at OSAIC Wealth, Inc. ended in termination on September 6, 2024, due to engaging in personal transactions with clients. Prior to this, she held a long-standing position at MML Investors Services, LLC, from 1986 to 2012, before being discharged on July 12, 2012, for policy violations involving client account management.

Jul 30, 2024

Karen Emma of Osaic Wealth, Inc. Reviews

Karen Emma (CRD #4051573) , located in Cranston, Rhode Island, has an extensive background in the financial services industry, being registered with Osaic Wealth, Inc. since January 2007. Prior to her current registration, she was affiliated with Citigroup Global Markets Inc. from December 1999 to January 2007. Emma is licensed in 22 U.S. states and territories and has passed three general industry/product exams (Series 7, Series 31, Series SIE) along with two multi-state securities law exams (Series 63, Series 65). Her long-standing career and broad licensure across numerous states underline her seasoned experience in the securities industry.

Jun 18, 2024

Marc Minor of Osaic Wealth, Inc. Reviews

Marc Minor (CRD #2230271) , located in Naples, Florida, is currently employed by Osaic Wealth, Inc., where he has been registered since January 19, 2024. Over his extensive career, Minor has been affiliated with multiple firms, including Woodbury Financial Services and Legacy Financial Services. He has significant industry experience, being licensed in all 50 U.S. states and territories. Minor has passed two general industry/product exams (Securities Industry Essentials Examination and Series 6) and two multi-state securities law exams (Series 65 and Series 63). His experience and broad registration demonstrate a substantial commitment to his role in the financial services industry.

Jun 17, 2024

James McDermott of Osaic Wealth, Inc

James McDermott (CRD #2483480) , located in Oakbrook Terrace, Illinois, is currently registered with Osaic Wealth, Inc. He has had a varied career with multiple transitions across prominent firms. Since beginning his brokerage career in 1994, McDermott has been affiliated with several major firms, including Raymond James and Oppenheimer & Co. Although licensed in 27 U.S. states and territories and having passed three general industry/product exams along with two multi-state securities law exams, his record is marred by a customer dispute and a termination event. His failure to complete any principal/supervisory exams raises questions about his readiness for higher-level responsibilities in the industry.

May 6, 2024

Jack Yvars of Osaic Wealth, Inc

Jack Yvars (CRD #6377111) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Concord, New Hampshire, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Jack Yvars was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 28, 2024

Patrick Tantoco of Osaic Wealth, Inc

Patrick Tantoco (CRD #5249850) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Honolulu, Hawaii, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Patrick Tantoco was associated with MML Investors Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Mar 3, 2024

Joseph Haas III of Osaic Wealth, Inc

Joseph Haas III (CRD #2775312) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc and located in Yardley, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc, Joseph Haas III was associated with Signator Investors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Feb 28, 2024

Lisa Jacques of Osaic Wealth, Inc

Lisa Jacques (CRD #5440240) who is currently registered as a broker with Osaic Wealth, Inc. and located in West Boylston, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Lisa Jacques was associated with Sagepoint Financial, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Oct 11, 2023

Ryan Beck of Osaic Wealth, Inc.

Ryan Beck Of Osaic Wealth, Inc. Has A Customer Complaint For Alleged Broker Misconduct Beck (CRD #2582002) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Eugene, Oregon, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Ryan Beck was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.