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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

WARREN SHERMAN WILLIAMS

Advisor at OSAIC WEALTH, INC.

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:934275a5-85a8-30d8-497e-87d0f0dcd28a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 22, 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 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Aug 1, 1996
First registration: Jan 22, 2001
Dual registered: yes, broker-dealer
Other names: WARREN S JR WILLIAMS
IAPD individual key: 2744618

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	Jun 14, 2024	n/a	yes	OVERLAND PARK, KS	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 18, 2020	Jun 14, 2024	no	OVERLAND PARK, KS	Previous registration
SSN ADVISORY, INC.	Former SEC adviser	Dec 16, 2008	Sep 18, 2020	no	OVERLAND PARK, KS	Previous registration
THE RETIREMENT GROUP, LLC	Former SEC adviser	Dec 3, 2008	Dec 15, 2008	no	OVERLAND PARK, KS	Previous registration
SSN ADVISORY, INC.	Former SEC adviser	Mar 28, 2007	Dec 16, 2008	no	OVERLAND PARK, KS	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Jan 22, 2001	Jan 26, 2007	no	MISSION, KS\|MISSION, KS	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
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
SSN ADVISORY, INC.	SECURITIES AMERICA ADVISORS, INC.	Sep 18, 2020	Sep 18, 2020	0	Bulk transfer	Ibd to ibd
SSN ADVISORY, INC.	THE RETIREMENT GROUP, LLC	Dec 16, 2008	Dec 3, 2008	-13	Firm change	Other
THE RETIREMENT GROUP, LLC	SSN ADVISORY, INC.	Dec 15, 2008	Dec 16, 2008	1	Firm change	Other
FSC SECURITIES CORPORATION	SSN ADVISORY, INC.	Jan 26, 2007	Mar 28, 2007	61	Firm change	Other

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 18, 2020 to Jun 14, 2024factForm ADV
→ SSN ADVISORY, INC.Registered adviserregistration: previous registration
Dec 16, 2008 to Sep 18, 2020factForm ADV
→ THE RETIREMENT GROUP, LLCRegistered adviserregistration: previous registration
Dec 3, 2008 to Dec 15, 2008factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 22, 2001 to Jan 26, 2007factForm ADV

Dated events

No dated event names this entity yet.