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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

MICHAEL DAVID RUFFALO

Advisor at OSAIC WEALTH, INC.

DOWNERS GROVE, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 28, 2002 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: Nov 28, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 28, 2001
First registration: May 28, 2002
Dual registered: yes, broker-dealer
Other names: MIKE RUFFALO
IAPD individual key: 4452613

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	Mar 6, 2014	n/a	yes	DOWNERS GROVE, IL	Current employment
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Nov 5, 2009	Feb 19, 2014	no	SCHAUMBURG, IL\|NAPERVILLE, IL\|SCHAUMBURG, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 8, 2009	Nov 11, 2009	no	SCHAUMBURG, IL	Previous registration
WATERSTONE FINANCIAL GROUP, INC.	n/a	May 19, 2004	Sep 8, 2009	no	BOSTON, MA\|SCHAUMBURG, IL\|SCHAUMBURG, IL	Previous registration
NSA SECURITIES CORPORATION	n/a	May 28, 2002	May 13, 2004	no	SCHAUMBURG, IL	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
INDEPENDENT FINANCIAL GROUP, LLC	OSAIC WEALTH, INC.	Feb 19, 2014	Mar 6, 2014	15	Firm change	Other
LPL FINANCIAL LLC	INDEPENDENT FINANCIAL GROUP, LLC	Nov 11, 2009	Nov 5, 2009	-6	Firm change	Other
WATERSTONE FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Sep 8, 2009	Sep 8, 2009	0	Bulk transfer	Other
NSA SECURITIES CORPORATION	WATERSTONE FINANCIAL GROUP, INC.	May 13, 2004	May 19, 2004	6	Firm change	Other

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Mar 6, 2014 to presentfactForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Nov 5, 2009 to Feb 19, 2014factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 8, 2009 to Nov 11, 2009factForm ADV
→ WATERSTONE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
May 19, 2004 to Sep 8, 2009factForm ADV
→ NSA SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 28, 2002 to May 13, 2004factForm ADV

Dated events

No dated event names this entity yet.