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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

WALTER W GOSS

Advisor at OSAIC INSTITUTIONS, INC.

HANOVER, NH | Concord, NH

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 22, 2014 to Sep 15, 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 INSTITUTIONS, 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: Dec 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 29, 2013
First registration: Sep 22, 2014
Dual registered: yes, broker-dealer
Other names: WALTER WELCOM GOSS|WALTER WELCOM GOSS|WALTER W GOSS
IAPD individual key: 6149962

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 INSTITUTIONS, INC.	Bd affiliated wealth	Feb 7, 2025	n/a	yes	HANOVER, NH\|Concord, NH	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 26, 2020	Jan 21, 2025	no	TILTON, NH\|FORT MILL, SC\|TILTON, NH\|CAMPTON, NH\|PLYMOUTH, NH\|MEREDITH, NH\|WEST PLYMOUTH, NH\|LACONIA, NH	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Mar 22, 2019	Oct 28, 2020	no	Derry, NH\|Lexington, MA\|Plaistow, NH\|SEABROOK, NH\|CONCORD, NH\|MANCHESTER, NH\|HILLSBOROUGH, NH\|Merrimack, NH\|HILLSBOROUGH, NH\|Boston, MA	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 12, 2018	Mar 25, 2019	no	ANDOVER, MA\|DEERFIELD, NH	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Oct 30, 2017	Dec 14, 2018	no	BEDFORD, NH	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Sep 22, 2014	May 11, 2017	no	BEDFORD, MA\|ACTON, MA\|CANTON, 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
LPL FINANCIAL LLC	OSAIC INSTITUTIONS, INC.	Jan 21, 2025	Feb 7, 2025	17	Firm change	Ibd to ibd
SANTANDER SECURITIES	LPL FINANCIAL LLC	Oct 28, 2020	Oct 26, 2020	-2	Firm change	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	SANTANDER SECURITIES	Mar 25, 2019	Mar 22, 2019	-3	Firm change	Ibd to ibd
MML INVESTORS SERVICES, LLC	WOODBURY FINANCIAL SERVICES, INC.	Dec 14, 2018	Dec 12, 2018	-2	Firm change	Ibd to ibd
CITIZENS SECURITIES, INC.	MML INVESTORS SERVICES, LLC	May 11, 2017	Oct 30, 2017	172	Firm change	Other

Relationships

Registered with (6)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Feb 7, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 26, 2020 to Jan 21, 2025factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Mar 22, 2019 to Oct 28, 2020factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 12, 2018 to Mar 25, 2019factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Oct 30, 2017 to Dec 14, 2018factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Sep 22, 2014 to May 11, 2017factForm ADV

Dated events

Occurred
Jan 21, 2025
Advisor changed firm
Walter W Goss left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2025-02-07)
Form ADVobserved 5 days ago