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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

JOHN DOUGLAS ROSZELL

Advisor at OSAIC WEALTH, INC.

KNOXVILLE, TN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2004 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: Feb 17, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Feb 17, 1995
First registration: Feb 2, 2004
Dual registered: yes, broker-dealer
Other names: JOHN D ROSZELL
IAPD individual key: 2559109

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	Jun 14, 2024	n/a	yes	KNOXVILLE, TN	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 18, 2020	Jun 14, 2024	no	KNOXVILLE, TN	Previous registration
SSN ADVISORY, INC.	Former SEC adviser	Mar 23, 2010	Sep 18, 2020	no	KNOXVILLE, TN	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 18, 2005	Mar 24, 2010	no	KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 2, 2004	Aug 29, 2005	no	KNOXVILLE, TN	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.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
SSN ADVISORY, INC.	SECURITIES AMERICA ADVISORS, INC.	Sep 18, 2020	Sep 18, 2020	0	Bulk transfer	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	SSN ADVISORY, INC.	Mar 24, 2010	Mar 23, 2010	-1	Firm change	Other
MORGAN STANLEY DW INC.	WOODBURY FINANCIAL SERVICES, INC.	Aug 29, 2005	Aug 18, 2005	-11	Firm change	Other

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 18, 2020 to Jun 14, 2024factForm ADV
→ SSN ADVISORY, INC.Registered adviserregistration: previous registration
Mar 23, 2010 to Sep 18, 2020factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 18, 2005 to Mar 24, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 2, 2004 to Aug 29, 2005factForm ADV

Dated events

No dated event names this entity yet.