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.

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

Aug 1, 2009earliest registration or exam on IAPD

Years in industry

17derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Nov 3, 2009

First registration

Jun 5, 2013

Dual registered

yes, broker-dealer

IAPD individual key

5701509

• Occurred

  Jun 24, 2024
  Advisor changed firm

  Thomas Edward Patton left Spc for Osaic Wealth, Inc. (registered 2024-06-24)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5fec4459-ef28-09e7-c9f8-ca46e927d20a

First observed

Jun 5, 2013

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.