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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JOSEPH MICHAEL PHILLIPS

Advisor at OSAIC WEALTH, INC.

BOSTON, MA

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Search this name across graphsid dfx:ria:307abbe2-8896-3060-1cb6-e90b50e09cfd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2014 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: Sep 23, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 23, 1998
First registration: Mar 21, 2014
Dual registered: yes, broker-dealer
Other names: Joseph Michael Phillips|Joseph Michael Phillips
IAPD individual key: 3052459

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	BOSTON, MA	Current employment
OSAIC FA, INC.	Former SEC adviser	Jul 1, 2020	Jan 24, 2025	no	BOSTON, MA\|BOSTON, MA\|HARTFORD, CT\|BOSTON, MA	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Dec 15, 2014	Jun 29, 2020	no	BOSTON, MA\|Boston, MA\|Boston, MA\|Boston, MA\|Boston, MA\|Boston, MA\|Worcester, MA\|Boston, MA\|Framingham, MA\|Boston, MA\|Plymouth, MA\|Abington, MA\|Boston, MA\|Boston, MA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Mar 21, 2014	Nov 24, 2014	no	MALDEN, MA\|MALDEN, MA\|SOMERVILLE, MA\|SOMERVILLE, MA\|EAST BOSTON, MA\|EVERETT, MA\|REVERE, MA	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
SANTANDER SECURITIES	OSAIC FA, INC.	Jun 29, 2020	Jul 1, 2020	2	Firm change	Ibd to ibd
CITIZENS SECURITIES, INC.	SANTANDER SECURITIES	Nov 24, 2014	Dec 15, 2014	21	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
Jul 1, 2020 to Jan 24, 2025factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Dec 15, 2014 to Jun 29, 2020factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Mar 21, 2014 to Nov 24, 2014factForm ADV

Dated events

No dated event names this entity yet.