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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

JOHN HARVEY HEIL

Advisor at OSAIC WEALTH, INC.

CARLSBAD, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: May 30, 2001 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: Jul 28, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jul 28, 1987
First registration: May 30, 2001
Dual registered: yes, broker-dealer
Other names: JOHN HEIL
IAPD individual key: 1699760

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	Dec 11, 2023	n/a	yes	CARLSBAD, CA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	Dec 11, 2023	no	CARLSBAD, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Apr 12, 2013	Nov 12, 2020	no	CARLSBAD, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Dec 8, 2008	Apr 24, 2013	no	CARLSBAD, CA\|LOS ANGELES, CA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2005	Dec 19, 2008	no	CARLSBAD, CA\|CARLSBAD, CA\|CARLSBAD, CA	Previous registration
COLE FINANCIAL, LLC	n/a	Aug 30, 2004	Feb 9, 2006	no	CARLSBAD, CA	Previous registration
SENTRA SECURITIES CORPORATION	n/a	May 29, 2003	Oct 31, 2005	no	CARLSBAD, CA	Previous registration
PIPER SANDLER & CO.	Institutional manager	May 30, 2001	May 29, 2003	no	LA JOLLA, 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
CETERA INVESTMENT ADVISERS LLC	OSAIC WEALTH, INC.	Dec 11, 2023	Dec 11, 2023	0	Firm change	Ibd to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	FIRST ALLIED ADVISORY SERVICES, INC.	Apr 24, 2013	Apr 12, 2013	-12	Firm change	Other
SAGEPOINT FINANCIAL, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Dec 19, 2008	Dec 8, 2008	-11	Firm change	Other
COLE FINANCIAL, LLC	SAGEPOINT FINANCIAL, INC.	Feb 9, 2006	Oct 31, 2005	-101	Firm change after gap	Other
SENTRA SECURITIES CORPORATION	COLE FINANCIAL, LLC	Oct 31, 2005	Aug 30, 2004	-427	Firm change after gap	Other
PIPER SANDLER & CO.	SENTRA SECURITIES CORPORATION	May 29, 2003	May 29, 2003	0	Firm change	Other

Relationships

Registered with (8)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Dec 11, 2023 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Nov 12, 2020 to Dec 11, 2023factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Apr 12, 2013 to Nov 12, 2020factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Dec 8, 2008 to Apr 24, 2013factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2005 to Dec 19, 2008factForm ADV
→ COLE FINANCIAL, LLCRegistered adviserregistration: previous registration
Aug 30, 2004 to Feb 9, 2006factForm ADV
→ SENTRA SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 29, 2003 to Oct 31, 2005factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
May 30, 2001 to May 29, 2003factForm ADV

Dated events

Occurred
Dec 11, 2023
Advisor changed firm
John Harvey Heil left Cetera Investment Advisers Llc for Osaic Wealth, Inc. (registered 2023-12-11)
Form ADVobserved 5 days ago