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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

Matthew Lott

Advisor at OSAIC WEALTH, INC.

JERSEY CITY, NJ

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Search this name across graphsid dfx:ria:70f71cf7-cad9-e950-5762-90b8007b4376

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 5, 2023 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: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63
First exam: Jan 30, 2018
First registration: Dec 5, 2023
Dual registered: yes, broker-dealer
Other names: Matthew Lott|Matthew Morgan Lott
IAPD individual key: 6876060

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	May 19, 2025	n/a	yes	JERSEY CITY, NJ	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	May 23, 2025	no	PARAMUS, NJ\|NEW YORK, NY	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jun 26, 2024	Nov 14, 2024	no	PARAMUS, NJ\|New York, NY	Previous registration
PROXY WEALTH ADVISORS LLC	Independent wealth	Dec 5, 2023	Jun 24, 2024	no	Brooklyn, NY\|WINDERMERE, 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
LPL ENTERPRISE, LLC	OSAIC WEALTH, INC.	May 23, 2025	May 19, 2025	-4	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
PROXY WEALTH ADVISORS LLC	PRUCO SECURITIES, LLC	Jun 24, 2024	Jun 26, 2024	2	Firm change	RIA to ibd

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
May 19, 2025 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to May 23, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 26, 2024 to Nov 14, 2024factForm ADV
→ PROXY WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Dec 5, 2023 to Jun 24, 2024factForm ADV

Dated events

Occurred
May 23, 2025
Advisor changed firm
Matthew Lott left Lpl Enterprise, Llc for Osaic Wealth, Inc. (registered 2025-05-19)
Form ADVobserved 6 days ago
Occurred
Jun 24, 2024
Advisor changed firm
Matthew Lott left Proxy Wealth Advisors Llc for Pruco Securities, Llc (registered 2024-06-26)
Form ADVobserved 6 days ago