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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

DENISE JULIUS ZUMBRUN

Advisor at OSAIC WEALTH, INC.

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:19e93af1-554f-58de-c624-0f079747fcec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 4, 2009 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: May 21, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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: S66|S63
First exam: May 21, 1998
First registration: Sep 4, 2009
Dual registered: yes, broker-dealer
Other names: DENISE JULIUS|DENISE JULIUS ZUMBRUN|Denise J Zumbrun
IAPD individual key: 2893489

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	Mar 16, 2022	Sep 1, 2023	no	SCOTTSDALE, AZ\|LAKELAND, FL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 16, 2021	Dec 13, 2021	no	FORT MILL, SC\|LAKELAND, FL\|LAKELAND, FL	Previous registration
CLARAPHI ADVISORY NETWORK, LLC	Independent wealth	Nov 19, 2019	Mar 24, 2020	no	WINTER HAVEN, FL	Previous registration
THURSTON SPRINGER FINANCIAL	Former SEC adviser	Dec 3, 2018	Aug 19, 2019	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|Lakeland, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 30, 2011	Jan 2, 2019	no	TAMPA, FL\|NEW YORK, NY	Previous registration
BROOKSTONE INVESTMENT ADVISORY SERVICES	Former SEC adviser	Sep 4, 2009	Jun 2, 2011	no	BOCA RATON, FL\|LAKELAND, FL\|WOODLAND HILLS, CA\|BROOKLYN, NY\|LAKELAND, FL\|LONGWOOD, 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
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	SAGEPOINT FINANCIAL, INC.	Dec 13, 2021	Mar 16, 2022	93	Firm change	Ibd to ibd
CLARAPHI ADVISORY NETWORK, LLC	LPL FINANCIAL LLC	Mar 24, 2020	Sep 16, 2021	541	Firm change after gap	RIA to ibd
THURSTON SPRINGER FINANCIAL	CLARAPHI ADVISORY NETWORK, LLC	Aug 19, 2019	Nov 19, 2019	92	Firm change	Ibd to RIA
CITIGROUP GLOBAL MARKETS INC.	THURSTON SPRINGER FINANCIAL	Jan 2, 2019	Dec 3, 2018	-30	Firm change	Ibd to ibd
BROOKSTONE INVESTMENT ADVISORY SERVICES	CITIGROUP GLOBAL MARKETS INC.	Jun 2, 2011	Sep 30, 2011	120	Firm change	Other

Relationships

Registered with (7)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Mar 16, 2022 to Sep 1, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 16, 2021 to Dec 13, 2021factForm ADV
→ CLARAPHI ADVISORY NETWORK, LLCRegistered adviserregistration: previous registration
Nov 19, 2019 to Mar 24, 2020factForm ADV
→ THURSTON SPRINGER FINANCIALRegistered adviserregistration: previous registration
Dec 3, 2018 to Aug 19, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 30, 2011 to Jan 2, 2019factForm ADV
→ BROOKSTONE INVESTMENT ADVISORY SERVICESRegistered adviserregistration: previous registration
Sep 4, 2009 to Jun 2, 2011factForm ADV

Dated events

No dated event names this entity yet.