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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

LISA SCOTT LAGORIO

Advisor at OSAIC WEALTH, INC.

LIVERMORE, CA

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Search this name across graphsid dfx:ria:26a538e6-be9e-3020-b1b3-93dce4164283

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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 13, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: May 13, 1986
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: LISA SCOTT HELMICK
IAPD individual key: 1287270

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	LIVERMORE, CA\|LIVERMORE, CA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 15, 2017	Jun 14, 2024	no	LIVERMORE, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Feb 18, 2009	Nov 16, 2017	no	LIVERRMORE, CA\|ALAMEDA, CA\|El Segundo, CA	Previous registration
STERLING FINANCIAL SERVICES, INC.	n/a	Jul 20, 2001	Dec 31, 2013	no	PLEASANTON, CA\|WALNUT CREEK, CA\|SAN RAMON, CA	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Jul 8, 1997	Mar 4, 2009	no	SAN RAMON, CA\|SAN RAMON, CA\|PLEASANTON, CA	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
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	SECURITIES AMERICA ADVISORS, INC.	Nov 16, 2017	Nov 15, 2017	-1	Firm change	Other
STERLING FINANCIAL SERVICES, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Dec 31, 2013	Feb 18, 2009	-1,777	Firm change after gap	Other
OSAIC WEALTH, INC.	STERLING FINANCIAL SERVICES, INC.	Mar 4, 2009	Jul 20, 2001	-2,784	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
29604:110518:CA:2017-10-20	Nov 16, 2017	Nov 15, 2017	EL SEGUNDO, CA	Firm change

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Mar 4, 2009factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 15, 2017 to Jun 14, 2024factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Feb 18, 2009 to Nov 16, 2017factForm ADV
→ STERLING FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 20, 2001 to Dec 31, 2013factForm ADV

Dated events

No dated event names this entity yet.