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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

STEVEN THOMAS MORGAN

Advisor at OSAIC ADVISORY SERVICES, LLC

WESTERVILLE, OH

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Search this name across graphsid dfx:ria:a0ca7556-2263-e506-7880-5d48afd87313

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 28, 2010 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 ADVISORY SERVICES, LLC
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: Feb 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 13, 2012
First registration: Jun 28, 2010
Dual registered: yes, broker-dealer
Other names: STEVEN MORGAN
IAPD individual key: 5678870

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 ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	n/a	yes	WESTERVILLE, OH	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Oct 12, 2022	Nov 8, 2024	no	WESTERVILLE, OH	Previous registration
POLARIS FINANCIAL PARTNERS, LLC	Independent wealth	May 17, 2019	Mar 16, 2023	no	WESTERVILLE, OH	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Jun 28, 2010	Oct 12, 2022	no	WESTERVILLE, OH\|SYRACUSE, NY\|Syracuse, NY	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
ARBOR POINT ADVISORS	OSAIC ADVISORY SERVICES, LLC	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
POLARIS FINANCIAL PARTNERS, LLC	ARBOR POINT ADVISORS	Mar 16, 2023	Oct 12, 2022	-155	Firm change after gap	RIA to ibd
CADARET GRANT & CO INC	POLARIS FINANCIAL PARTNERS, LLC	Oct 12, 2022	May 17, 2019	-1,244	Firm change after gap	Ibd to RIA

Relationships

Registered with (4)

→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Oct 12, 2022 to Nov 8, 2024factForm ADV
→ POLARIS FINANCIAL PARTNERS, LLCRegistered adviserregistration: previous registration
May 17, 2019 to Mar 16, 2023factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Jun 28, 2010 to Oct 12, 2022factForm ADV

Dated events

Occurred
Mar 16, 2023
Advisor changed firm
Steven Thomas Morgan left Polaris Financial Partners, Llc for Arbor Point Advisors (registered 2022-10-12)
Form ADVobserved 4 days ago
Occurred
Oct 12, 2022
Advisor changed firm
Steven Thomas Morgan left Cadaret Grant & Co Inc for Polaris Financial Partners, Llc (registered 2019-05-17)
Form ADVobserved 4 days ago