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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

NICHOLAS MOOR WEISSFELD

Advisor at OSAIC WEALTH, INC.

KNOXVILLE, TN

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Search this name across graphsid dfx:ria:87b064b9-d6ea-a140-7774-1b2bba82f848

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 28, 2006 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 29, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Jun 29, 2006
First registration: Jul 28, 2006
Dual registered: yes, broker-dealer
Other names: NICK WEISSFELD
IAPD individual key: 5014173

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	Jan 24, 2025	n/a	yes	KNOXVILLE, TN	Current employment
OSAIC FA, INC.	Former SEC adviser	Oct 30, 2017	Jan 24, 2025	no	KNOXVILLE, TN\|VIRGINIA BEACH, VA\|KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 8, 2017	Nov 10, 2017	no	Knoxville, TN\|Knoxville, TN	Previous registration
TVAMP, LLC	Independent wealth	Aug 28, 2012	Jul 1, 2016	no	KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 28, 2012	Jan 28, 2016	no	KNOXVILLE, TN	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 28, 2006	Sep 29, 2006	no	SPRINGFIELD, MO	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
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
MML INVESTORS SERVICES, LLC	OSAIC FA, INC.	Nov 10, 2017	Oct 30, 2017	-11	Firm change	Other
TVAMP, LLC	MML INVESTORS SERVICES, LLC	Jul 1, 2016	Mar 8, 2017	250	Firm change	Other
LPL FINANCIAL LLC	TVAMP, LLC	Jan 28, 2016	Aug 28, 2012	-1,248	Firm change after gap	Other
EQUITABLE ADVISORS, LLC	LPL FINANCIAL LLC	Sep 29, 2006	Aug 28, 2012	2,160	Firm change after gap	Other

Relationships

Registered with (6)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Oct 30, 2017 to Jan 24, 2025factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 8, 2017 to Nov 10, 2017factForm ADV
→ TVAMP, LLCRegistered adviserregistration: previous registration
Aug 28, 2012 to Jul 1, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 28, 2012 to Jan 28, 2016factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 28, 2006 to Sep 29, 2006factForm ADV

Dated events

No dated event names this entity yet.