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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

EVELYN KAY DUKA

Advisor at OSAIC ADVISORY SERVICES, LLC

LAFAYETTE, CA

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Search this name across graphsid dfx:ria:8217b5b5-747e-3276-e598-c4b59c10eb21

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Apr 28, 2003 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 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: Apr 21, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 2
Registered states: 1
Exams: S63|S66
First exam: Apr 21, 2003
First registration: Apr 28, 2003
Dual registered: yes, broker-dealer
Other names: EVELYN KAY WILLIAMS|EVELYN KAY DUKA|EVELYN KAY WILLIAMS DUKA
IAPD individual key: 4318673

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	LAFAYETTE, CA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	n/a	yes	LAFAYETTE, CA	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Jun 16, 2017	Nov 8, 2024	no	LAFAYETTE, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	May 31, 2017	Jun 14, 2024	no	LAFAYETTE, CA	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Jan 18, 2013	Jun 1, 2017	no	SAN FRANCISCO, CA\|La Fayette, CA\|LOS ANGELES, CA	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	May 26, 2010	Jun 29, 2012	no	LAFEYETTE, CA\|SARASOTA, FL	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Jul 13, 2009	May 17, 2010	no	MINNEAPOLIS, MN	Previous registration
FINANCIAL TELESIS, INC.	Former SEC adviser	Jun 3, 2009	Jun 19, 2009	no	SAN RAFAEL, CA	Previous registration
KALOS MANAGEMENT	Former SEC adviser	Feb 23, 2007	Jun 4, 2009	no	PONTE VEDRA BEACH, FL	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Nov 25, 2005	Dec 16, 2006	no	Pleasanton, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 28, 2003	Nov 29, 2005	no	LAFAYETTE, 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	Jun 16, 2017	-2,555	Channel change	Other
FINANCIAL WEST GROUP	SECURITIES AMERICA ADVISORS, INC.	Jun 1, 2017	May 31, 2017	-1	Firm change	Other
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	FINANCIAL WEST GROUP	Jun 29, 2012	Jan 18, 2013	203	Firm change	Other
QUESTAR ASSET MANAGEMENT, INC.	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	May 17, 2010	May 26, 2010	9	Firm change	Other
FINANCIAL TELESIS, INC.	QUESTAR ASSET MANAGEMENT, INC.	Jun 19, 2009	Jul 13, 2009	24	Firm change	Other
KALOS MANAGEMENT	FINANCIAL TELESIS, INC.	Jun 4, 2009	Jun 3, 2009	-1	Firm change	Other
MML INVESTORS SERVICES, LLC	KALOS MANAGEMENT	Dec 16, 2006	Feb 23, 2007	69	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Nov 29, 2005	Nov 25, 2005	-4	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:CA:2024-11-08	Nov 8, 2024	Jun 14, 2024	LAFAYETTE, CA	Firm change after gap
110518:165127:CA:2024-06-14	Jun 14, 2024	Jun 16, 2017	LAFAYETTE, CA	Firm change after gap

Relationships

Registered with (11)

→ 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
Jun 16, 2017 to Nov 8, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
May 31, 2017 to Jun 14, 2024factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Jan 18, 2013 to Jun 1, 2017factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
May 26, 2010 to Jun 29, 2012factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jul 13, 2009 to May 17, 2010factForm ADV
→ FINANCIAL TELESIS, INC.Registered adviserregistration: previous registration
Jun 3, 2009 to Jun 19, 2009factForm ADV
→ KALOS MANAGEMENTRegistered adviserregistration: previous registration
Feb 23, 2007 to Jun 4, 2009factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Nov 25, 2005 to Dec 16, 2006factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 28, 2003 to Nov 29, 2005factForm ADV

Dated events

No dated event names this entity yet.