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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

KENNETH LEE CLOWERS

Advisor at OSAIC WEALTH, INC.

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:00259a12-a291-dfcf-2c79-96d8e585d9ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 11, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 18, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 18, 1991
First registration: Apr 11, 2001
Dual registered: yes, broker-dealer
Other names: KEN CLOWERS
IAPD individual key: 2066390

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 1, 2023	n/a	yes	SCOTTSDALE, AZ	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jan 19, 2021	Sep 1, 2023	no	SCOTTSDALE, AZ	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 6, 2020	Jun 14, 2024	no	SEATTLE, WA\|LA VISTA, NE	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Jun 2, 2016	Nov 6, 2020	no	SEATTLE, WA\|SEATTLE, WA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2014	Jul 14, 2016	no	BOSTON, MA	Previous registration
SIGNATOR FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 12, 2012	Jan 7, 2016	no	BOSTON, MA\|Bellevue, WA	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Apr 11, 2001	Mar 16, 2012	no	RENTON, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURITIES AMERICA ADVISORS, INC.	SAGEPOINT FINANCIAL, INC.	Jun 14, 2024	Jan 19, 2021	-1,242	Channel change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
KMS FINANCIAL SERVICES, INC	SECURITIES AMERICA ADVISORS, INC.	Nov 6, 2020	Nov 6, 2020	0	Bulk transfer	Ibd to ibd
SIGNATOR INVESTORS, INC.	KMS FINANCIAL SERVICES, INC	Jul 14, 2016	Jun 2, 2016	-42	Firm change after gap	Other
SIGNATOR FINANCIAL SERVICES, INC.	SIGNATOR INVESTORS, INC.	Jan 7, 2016	May 13, 2014	-604	Channel change	Other
PACIFIC WEST FINANCIAL CONSULTANTS INC	SIGNATOR FINANCIAL SERVICES, INC.	Mar 16, 2012	Jun 12, 2012	88	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110518:133763:NE:2024-06-14	Jun 14, 2024	Jan 19, 2021	LA VISTA, NE	Firm change after gap

Relationships

Registered with (7)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 6, 2020 to Jun 14, 2024factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jan 19, 2021 to Sep 1, 2023factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Jun 2, 2016 to Nov 6, 2020factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2014 to Jul 14, 2016factForm ADV
→ SIGNATOR FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 12, 2012 to Jan 7, 2016factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Apr 11, 2001 to Mar 16, 2012factForm ADV

Dated events

No dated event names this entity yet.