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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

BRIAN NICHOLS MANN

Advisor at OSAIC INSTITUTIONS, INC.

Santa Barbara, CA

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Search this name across graphsid dfx:ria:8bf7f1d0-44c2-3137-d8ab-15517838233e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 7, 2015 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 INSTITUTIONS, 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: Oct 6, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 6, 2015
First registration: Oct 7, 2015
Dual registered: yes, broker-dealer
Other names: BRIAN MANN
IAPD individual key: 6432700

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 INSTITUTIONS, INC.	Bd affiliated wealth	Jan 2, 2026	n/a	yes	Santa Barbara, CA	Current employment
MORTON WEALTH	Independent wealth	Nov 9, 2020	Nov 24, 2021	no	CALABASAS, CA	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Apr 28, 2016	Nov 13, 2020	no	PASADENA, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 7, 2015	Apr 18, 2016	no	LOS ANGELES, 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
MORTON WEALTH	OSAIC INSTITUTIONS, INC.	Nov 24, 2021	Jan 2, 2026	1,500	Firm change after gap	RIA to ibd
ADVICE AND PLANNING SERVICES	MORTON WEALTH	Nov 13, 2020	Nov 9, 2020	-4	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Apr 18, 2016	Apr 28, 2016	10	Firm change	Other

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ MORTON WEALTHRegistered adviserregistration: previous registration
Nov 9, 2020 to Nov 24, 2021factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Apr 28, 2016 to Nov 13, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 7, 2015 to Apr 18, 2016factForm ADV

Dated events

No dated event names this entity yet.