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RIA / WealthAdvisor11 years in industry

KEITH MERWIN OSLIE

Advisor at OSAIC WEALTH, INC.

CASTRO VALLEY, CA

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Search this name across graphsid dfx:ria:628108f9-d78c-bfb4-470d-6107107a8cdf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2016 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: Jul 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Jun 30, 2016
First registration: Jul 18, 2016
Dual registered: no
IAPD individual key: 6683569

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 28, 2024	n/a	yes	CASTRO VALLEY, CA	Current employment
DEFINED FINANCIAL PLANNING LLC	Former SEC adviser	Sep 30, 2020	Jul 5, 2022	no	NOVATO, CA	Previous registration
J. W. COLE ADVISORS, INC.	Bd affiliated wealth	Apr 17, 2019	Oct 6, 2020	no	ALAMEDA, CA\|TAMPA, FL	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Jul 18, 2016	Apr 23, 2019	no	Alameda, CA\|SARASOTA, FL	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
DEFINED FINANCIAL PLANNING LLC	OSAIC WEALTH, INC.	Jul 5, 2022	Jun 28, 2024	724	Firm change after gap	RIA to ibd
J. W. COLE ADVISORS, INC.	DEFINED FINANCIAL PLANNING LLC	Oct 6, 2020	Sep 30, 2020	-6	Firm change	RIA to RIA
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	J. W. COLE ADVISORS, INC.	Apr 23, 2019	Apr 17, 2019	-6	Bulk transfer	Ibd to ibd

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jun 28, 2024 to presentfactForm ADV
→ DEFINED FINANCIAL PLANNING LLCRegistered adviserregistration: previous registration
Sep 30, 2020 to Jul 5, 2022factForm ADV
→ J. W. COLE ADVISORS, INC.Registered adviserregistration: previous registration
Apr 17, 2019 to Oct 6, 2020factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Jul 18, 2016 to Apr 23, 2019factForm ADV

Dated events

Occurred
Jul 5, 2022
Advisor changed firm
Keith Merwin Oslie left Defined Financial Planning Llc for Osaic Wealth, Inc. (registered 2024-06-28)
Form ADVobserved 6 days ago