DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

SHAWN MATHEW WARREN

Advisor at OSAIC ADVISORY SERVICES, LLC

FLOWER MOUND, TX | WESTLAKE VILLAGE, CA | FORT WORTH, TX | Flower Mound, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6907e50f-932a-57fa-cea0-68cc588fc70b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 25, 2002 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 ADVISORY SERVICES, LLC
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: Jan 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 3
Exams: S66|S63
First exam: Feb 19, 1998
First registration: Mar 25, 2002
Dual registered: yes, broker-dealer
Other names: SHAWN M WARREN
IAPD individual key: 2958818

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 ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	n/a	yes	Flower Mound, TX	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	n/a	yes	FLOWER MOUND, TX\|WESTLAKE VILLAGE, CA\|FORT WORTH, TX	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Apr 26, 2016	Nov 8, 2024	no	Westlake Village, CA\|FLOWER MOUND, TX	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Apr 26, 2016	Jun 14, 2024	no	Westlake Village, CA\|FLOWER MOUND, TX	Previous registration
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC	Former SEC adviser	Apr 23, 2013	Apr 26, 2016	no	LOS ANGELES, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 25, 2004	Sep 23, 2014	no	CALABASAS, CA\|WESTLAKE VILLAGE, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Mar 25, 2002	Oct 22, 2004	no	WEST LAKE VILLAGE, CA	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
ARBOR POINT ADVISORS	OSAIC WEALTH, INC.	Nov 8, 2024	Jun 14, 2024	-147	Channel change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	ARBOR POINT ADVISORS	Jun 14, 2024	Apr 26, 2016	-2,971	Channel change	Other
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC	SECURITIES AMERICA ADVISORS, INC.	Apr 26, 2016	Apr 26, 2016	0	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC	Sep 23, 2014	Apr 23, 2013	-518	Firm change after gap	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	SECURITIES AMERICA ADVISORS, INC.	Oct 22, 2004	Oct 25, 2004	3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
165127:23131:TX:2024-11-08	Nov 8, 2024	Jun 14, 2024	FLOWER MOUND, TX	Firm change after gap
110518:165127:TX:2024-06-14	Jun 14, 2024	Apr 26, 2016	FLOWER MOUND, TX	Firm change after gap
160322:110518:CA:2016-04-26	Apr 26, 2016	Apr 26, 2016	LOS ANGELES, CA	Firm change

Relationships

Registered with (6)

→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Apr 26, 2016 to Nov 8, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Apr 26, 2016 to Jun 14, 2024factForm ADV
→ AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 23, 2013 to Apr 26, 2016factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Mar 25, 2002 to Oct 22, 2004factForm ADV

Dated events

No dated event names this entity yet.