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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)36 years in industry

STEPHEN GARY ROSS

Advisor at OSAIC WEALTH, INC.

OMAHA, NE

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 10, 2000 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: Aug 31, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Aug 31, 1990
First registration: Apr 10, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 1081598

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	Nov 2, 2018	n/a	yes	OMAHA, NE	Current employment
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Nov 2, 2018	no	CHARLESTON, SC\|OMAHA, NE\|GOLD RIVER, CA\|NASHVILLE, TN	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Aug 21, 2002	May 13, 2016	no	OMAHA, NE\|OMAHA, NE\|SAN DIEGO, CA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Apr 10, 2000	Jul 9, 2002	no	OMAHA, NE	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
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	0	Bulk transfer	Other
SIGNATOR INVESTORS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Jul 9, 2002	Aug 21, 2002	43	Firm change	Other

Relationships

Registered with (3)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Nov 2, 2018factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 21, 2002 to May 13, 2016factForm ADV

Dated events

No dated event names this entity yet.