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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

CHAD MICHAEL BACKES

Advisor at OSAIC INSTITUTIONS, INC.

Marshfield, WI | MERIDEN, CT | Stevens Point, WI | New London, WI

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Search this name across graphsid dfx:ria:0df04d96-dda7-d07b-bc2a-c0c136680de8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 3, 2001 to Sep 15, 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 INSTITUTIONS, 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: Oct 26, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 26, 1999
First registration: Oct 3, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4045291

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 INSTITUTIONS, INC.	Bd affiliated wealth	Jul 13, 2026	n/a	yes	Stevens Point, WI\|Marshfield, WI\|New London, WI\|MERIDEN, CT\|New London, WI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 29, 2017	Jul 13, 2026	no	DALE, WI\|MANAWA, WI\|CLINTONVILLE, WI\|CECIL, WI\|WAUPACA, WI\|RUDOLPH, WI\|NEW LONDON, WI\|MANAWA, WI\|WAUPACA, WI\|CLINTONVILLE, WI\|STEVENS POINT, WI\|MARSHFIELD, WI\|WISCONSIN RAPIDS, WI\|WAUPACA, WI	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Sep 9, 2005	Mar 2, 2007	no	APPLETON, WI\|APPLETON, WI\|APPLETON, WI	Previous registration
INVESTMENT CENTERS OF AMERICA, INC.	Former SEC adviser	Oct 3, 2001	Dec 5, 2017	no	APPLETON, WI\|APPLETON, WI\|APPLETON, WI\|NEW LONDON, WI\|CECIL, WI\|CLINTONVILLE, WI\|MANAWA, WI\|DALE, WI\|WAUPACA, WI\|RUDOLPH, WI\|APPLETON, WI	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
LPL FINANCIAL LLC	OSAIC INSTITUTIONS, INC.	Jul 13, 2026	Jul 13, 2026	0	Firm change	Ibd to ibd
INVESTMENT CENTERS OF AMERICA, INC.	SII INVESTMENTS, INC.	Dec 5, 2017	Sep 9, 2005	-4,470	Channel change	Other
SII INVESTMENTS, INC.	LPL FINANCIAL LLC	Mar 2, 2007	Nov 29, 2017	3,925	Firm change after gap	Other

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Jul 13, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 29, 2017 to Jul 13, 2026factForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviserregistration: previous registration
Oct 3, 2001 to Dec 5, 2017factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 9, 2005 to Mar 2, 2007factForm ADV

Dated events

Occurred
Jul 13, 2026
Advisor changed firm
Chad Michael Backes left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2026-07-13)
Form ADVobserved 5 days ago