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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

RONNIE D SPENCE

Advisor at OSAIC WEALTH, INC.

PIKEVILLE, KY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 9, 2002 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: Oct 15, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S66
First exam: Oct 15, 2001
First registration: Jan 9, 2002
Dual registered: yes, broker-dealer
Other names: RONNIE D SPENCE
IAPD individual key: 4407242

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	Oct 7, 2013	n/a	yes	PIKEVILLE, KY	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Dec 20, 2012	Sep 20, 2013	no	PIKEVILLE, KY\|WALTHAM, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 1, 2009	Dec 20, 2012	no	PIKEVILLE, KY\|SAN DIEGO, CA\|PIKEVILLE, KY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jun 3, 2009	no	PIKEVILLE, KY	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Dec 16, 2005	Jan 1, 2008	no	ST. LOUIS, MO\|PIKEVILLE, KY	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 9, 2002	Dec 19, 2005	no	PIKEVILLE, KY	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
COMMONWEALTH FINANCIAL NETWORK	OSAIC WEALTH, INC.	Sep 20, 2013	Oct 7, 2013	17	Firm change	Other
LPL FINANCIAL LLC	COMMONWEALTH FINANCIAL NETWORK	Dec 20, 2012	Dec 20, 2012	0	Firm change	Other
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Jun 3, 2009	Jun 1, 2009	-2	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	A. G. EDWARDS & SONS, INC.	Dec 19, 2005	Dec 16, 2005	-3	Firm change	Other

Relationships

Registered with (6)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Oct 7, 2013 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Dec 20, 2012 to Sep 20, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 20, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Jun 3, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Dec 16, 2005 to Jan 1, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 9, 2002 to Dec 19, 2005factForm ADV

Dated events

No dated event names this entity yet.