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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

STEVEN JAY ROSENSTOCK

Advisor at OSAIC WEALTH, INC.

OVIEDO, FL

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Search this name across graphsid dfx:ria:17e137a3-9a38-6d20-9ce6-cc7c8f10f704

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2008 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: Jan 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 28, 2008
First registration: Jan 30, 2008
Dual registered: yes, broker-dealer
Other names: STEVEN ROSENSTOCK
IAPD individual key: 5466060

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	Jan 24, 2025	n/a	yes	OVIEDO, FL	Current employment
OSAIC FA, INC.	Former SEC adviser	Jan 26, 2023	Jan 24, 2025	no	OVIEDO, FL\|VIRGINIA BEACH, VA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Apr 28, 2010	Feb 6, 2023	no	ORLANDO, FL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 30, 2008	Apr 16, 2010	no	OVIEDO, FL	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
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	OSAIC FA, INC.	Feb 6, 2023	Jan 26, 2023	-11	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	VALIC FINANCIAL ADVISORS, INC.	Apr 16, 2010	Apr 28, 2010	12	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jan 26, 2023 to Jan 24, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 28, 2010 to Feb 6, 2023factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 30, 2008 to Apr 16, 2010factForm ADV

Dated events

Occurred
Feb 6, 2023
Advisor changed firm
Steven Jay Rosenstock left Valic Financial Advisors, Inc. for Osaic Fa, Inc. (registered 2023-01-26)
Form ADVobserved 5 days ago