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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

CLEMENT ERIC ALEXANDER RICHARDSON

Advisor at OSAIC WEALTH, INC.

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:8fea5845-4174-33b2-1016-602c005bbaa2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2001 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: Aug 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 7
Exams: S66
First exam: Aug 22, 2001
First registration: Sep 20, 2001
Dual registered: yes, broker-dealer
Other names: CLEMENT ERIC RICHARDSON|CLEMENT ERIC ALEXAN RICHARDSON
IAPD individual key: 4305379

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	Nov 3, 2023	n/a	yes	WALNUT CREEK, CA	Current employment
FSC SECURITIES CORPORATION	Former SEC adviser	Aug 12, 2020	Nov 3, 2023	no	WALNUT CREEK, CA\|ATLANTA, GA	Previous registration
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Former SEC adviser	Jul 11, 2007	Aug 18, 2020	no	NAPA, CA\|PORTLAND, OR\|SACRAMENTO, CA\|Napa, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 21, 2003	Nov 3, 2006	no	SANTA ROSA, CA\|SANTA ROSA, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 20, 2001	Nov 26, 2003	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
FSC SECURITIES CORPORATION	OSAIC WEALTH, INC.	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	Ibd to ibd
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	FSC SECURITIES CORPORATION	Aug 18, 2020	Aug 12, 2020	-6	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Nov 3, 2006	Jul 11, 2007	250	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 26, 2003	Nov 21, 2003	-5	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 12, 2020 to Nov 3, 2023factForm ADV
→ STEWARD PARTNERS INVESTMENT SOLUTIONS, LLCRegistered adviserregistration: previous registration
Jul 11, 2007 to Aug 18, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 21, 2003 to Nov 3, 2006factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 20, 2001 to Nov 26, 2003factForm ADV

Dated events

No dated event names this entity yet.