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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

BRIAN PAUL CONNOR

Advisor at OSAIC WEALTH, INC.

VENICE, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2000 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: Feb 24, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 25, 2003
First registration: Feb 24, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2602637

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	Sep 1, 2023	n/a	yes	VENICE, FL	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Apr 9, 2013	Sep 1, 2023	no	NOKOMIS, FL\|PHOENIX, AZ\|VENICE, FL	Previous registration
ASSET & FINANCIAL PLANNING, LTD	Former SEC adviser	Jun 16, 2008	Apr 10, 2013	no	NOKOMIS, FL	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Feb 24, 2000	Aug 31, 2004	no	SARASOTA , FL	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
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
ASSET & FINANCIAL PLANNING, LTD	SAGEPOINT FINANCIAL, INC.	Apr 10, 2013	Apr 9, 2013	-1	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	ASSET & FINANCIAL PLANNING, LTD	Aug 31, 2004	Jun 16, 2008	1,385	Firm change after gap	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Apr 9, 2013 to Sep 1, 2023factForm ADV
→ ASSET & FINANCIAL PLANNING, LTDRegistered adviserregistration: previous registration
Jun 16, 2008 to Apr 10, 2013factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 24, 2000 to Aug 31, 2004factForm ADV

Dated events

No dated event names this entity yet.