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

DAVID LEE MAYNARD

Advisor at OSAIC WEALTH, INC.

Winston Salem, NC

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Search this name across graphsid dfx:ria:45e9a15d-2576-9e9e-df15-5b73793f284d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2005 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 21, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S66|S63
First exam: Sep 21, 1999
First registration: Mar 30, 2005
Dual registered: yes, broker-dealer
Other names: DAVID LEE MAYNARD
IAPD individual key: 3262594

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	Winston Salem, NC	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 18, 2020	Jun 14, 2024	no	WINSTON SALEM, NC\|WINSTON SALEM, NC\|WINSTON-SALEM, NC	Previous registration
SSN ADVISORY, INC.	Former SEC adviser	Feb 8, 2019	Sep 18, 2020	no	Winston Salem, NC	Previous registration
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Mar 25, 2014	Feb 19, 2019	no	WINSTON-SALEM, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 14, 2013	Dec 23, 2013	no	HIGH POINT, NC\|WINSTON SALEM, NC	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jun 18, 2012	Jan 11, 2013	no	ARDEN, NC\|MURPHY, NC\|SPRUCE PINE, NC\|HIGHLANDS, NC\|ASHEVILLE, NC\|ASHEVILLE, NC\|BURNSVILLE, NC\|ASHEVILLE, NC\|HENDERSONVILLE, NC\|WEAVERVILLE, NC\|BREVARD, NC\|ANDREWS, NC\|CANDLER, NC\|CANTON, NC\|FRANKLIN, NC\|CASHIERS, NC\|BOONE, NC\|BOONE, NC\|GREENSBORO, NC\|PILOT MOUNTAIN, NC\|WINSTON-SALEM, NC\|MEBANE, NC\|GREENSBORO, NC\|GREENSBORO, NC\|GREENSBORO, NC\|GREENSBORO, NC\|ARCHDALE, NC\|MOUNT AIRY, NC\|CLEMMONS, NC\|KERNERSVILLE, NC\|GRAHAM, NC\|BURLINGTON, NC\|CHARLOTTE, NC\|WINSTON-SALEM, NC	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Oct 18, 2011	Jun 27, 2012	no	Greensboro, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 7, 2008	Sep 27, 2011	no	WINSTON SALEM, NC\|SAN DIEGO, CA\|WINSTON-SALEM, NC\|WINSTON-SALEM, NC	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Mar 30, 2005	Mar 10, 2008	no	WINSTON-SALEM, NC\|WINSTON-SALEM, NC\|GREENSBORO, NC	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
SSN ADVISORY, INC.	SECURITIES AMERICA ADVISORS, INC.	Sep 18, 2020	Sep 18, 2020	0	Bulk transfer	Ibd to ibd
INDEPENDENT ADVISOR ALLIANCE, LLC	SSN ADVISORY, INC.	Feb 19, 2019	Feb 8, 2019	-11	Firm change	RIA to ibd
LPL FINANCIAL LLC	INDEPENDENT ADVISOR ALLIANCE, LLC	Dec 23, 2013	Mar 25, 2014	92	Firm change	Other
PNC WEALTH MANAGEMENT	LPL FINANCIAL LLC	Jan 11, 2013	Jan 14, 2013	3	Firm change	Other
MML INVESTORS SERVICES, LLC	PNC WEALTH MANAGEMENT	Jun 27, 2012	Jun 18, 2012	-9	Firm change	Other
LPL FINANCIAL LLC	MML INVESTORS SERVICES, LLC	Sep 27, 2011	Oct 18, 2011	21	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Mar 10, 2008	Mar 7, 2008	-3	Firm change	Other

Relationships

Registered with (8)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 18, 2020 to Jun 14, 2024factForm ADV
→ SSN ADVISORY, INC.Registered adviserregistration: previous registration
Feb 8, 2019 to Sep 18, 2020factForm ADV
→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: previous registration
Mar 25, 2014 to Feb 19, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 14, 2013 to Dec 23, 2013factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jun 18, 2012 to Jan 11, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Oct 18, 2011 to Jun 27, 2012factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Mar 30, 2005 to Mar 10, 2008factForm ADV

Dated events

No dated event names this entity yet.