Category: Osaic Wealth

Broker’s Background   Diana M. Leon (CRD #: 4857407) is registered with Osaic Wealth, Inc. She is located in Gaithersburg, MD. Diana’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Capital One Advisors, LLC, Capital One Investing, LLC, LPL Financial LLC and Woodbury Financial Services, Inc.   Current and Past Allegations of Conduct […]

Broker’s Background   Marat Likhtenstein (CRD #: 2470480) was previously registered with Osaic Wealth, Inc. Okuma’s s past employers include Osaic Welath, Inc., Signator Investors, Inc., Park Avenue Securities, LLC, Guardian Investor Servies Corporation, John Hancock Distributors, Inc. and John Hancock Mutual Life Insurance Company.   Current and Past Allegations of Conduct Leading to Investment […]

Broker’s Background   Roderick Rodriguez (CRD #:2680445) is registered with Osaic Institutions Inc. He is based in New York, NY. Rodriguez has been previously registered with Citigroup, Essex National Securities, LPL Financial Corporation, IFMG Securities, Invest Financial Corporation, Gruntal & Co, L.L.C. and First Albany Corporation.   Current Allegations of Conduct Leading to Investment Loss […]

Jennifer Kim (CRD#: 2322771) is a registered broker and investment advisor with Signature Estate Securities, LLC in Los Angeles, CA. Broker’s History She entered the securities industry in 1993 and previously worked with John Hancock Mutual Life Insurance Company; Signator Investors, Inc.; and Osaic Wealth, Inc. Current and Past Allegations of Conduct Leading to Investment […]

Michael William Risko (CRD#: 1975573) is a registered broker and investment advisor with Osaic Institutions, Inc., in Hyde Park, NY. Broker’s History He entered the securities industry in 1989 and previously worked with Invest Financial Corporation; Oppenheimerfunds Distributor, Inc.; Reliastar Financial Marketing Corp.; Washington Square Securities, Inc.; Fortis Investors, Inc.; AIM Distributors, Inc.; AIM Private […]

Marat Likhtenstein (CRD#:2470480) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1994 and previously worked with John Hancock Mutual Life Insurance Company; John Hancock Distributors; Guardian Investor Services Corporation; Park Avenue Securities, LLC; Signator Investors, Inc.; and Osaic Wealth, Inc. Allegations of Misconduct According to publicly available […]

Louis Martin Wargo (CRD#:1416101) is a Registered Broker and Investment Advisor with Osaic Wealth, Inc., in Brecksville, OH. Broker’s Background He entered the securities industry in 1994 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; The Equitable Life Assurance Society of the United States; AXA Advisors LLC; and FSC Securities Corporation. Current […]