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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

STEVAN HENINGER GATES

Advisor at OSAIC WEALTH, INC.

MIDVALE, UT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 31, 1998 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 2, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jun 2, 1994
First registration: Aug 31, 1998
Dual registered: yes, broker-dealer
Other names: STEVAN GATES
IAPD individual key: 2436434

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	MIDVALE, UT	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Feb 28, 2017	May 15, 2017	no	MIDVALE, UT	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jan 18, 2017	Jun 14, 2024	no	MIDVALE, UT	Previous registration
ALLEGIS INVESTMENT ADVISORS, LLC	Former SEC adviser	May 27, 2014	Jan 18, 2017	no	SOUTH JORDAN, UT\|IDAHO FALLS, ID	Previous registration
OSAIC FA, INC.	Former SEC adviser	Aug 31, 1998	May 21, 2014	no	SALT LAKE CITY, UT\|HOLLADAY, UT\|SALT LAKE CITY, UT\|SALT LAKE CITY, UT\|BOUNTIFUL, UT\|BOUNTIFUL, UT	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.	ARBOR POINT ADVISORS	Jun 14, 2024	Feb 28, 2017	-2,663	Channel change	Other
ARBOR POINT ADVISORS	OSAIC WEALTH, INC.	May 15, 2017	Jun 14, 2024	2,587	Firm change after gap	Other
ALLEGIS INVESTMENT ADVISORS, LLC	SECURITIES AMERICA ADVISORS, INC.	Jan 18, 2017	Jan 18, 2017	0	Firm change	Other
OSAIC FA, INC.	ALLEGIS INVESTMENT ADVISORS, LLC	May 21, 2014	May 27, 2014	6	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
Jan 18, 2017 to Jun 14, 2024factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Feb 28, 2017 to May 15, 2017factForm ADV
→ ALLEGIS INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
May 27, 2014 to Jan 18, 2017factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Aug 31, 1998 to May 21, 2014factForm ADV

Dated events

No dated event names this entity yet.