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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

MICHAEL THOMAS MUNDO

Advisor at OSAIC WEALTH, INC.

LAKEWOOD RANCH, FL

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Search this name across graphsid dfx:ria:ce803a46-0c4e-824a-7b10-d076e49561d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 23, 2004 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: Dec 30, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Dec 30, 1998
First registration: Aug 23, 2004
Dual registered: yes, broker-dealer
Other names: MICHAEL MUNDO
IAPD individual key: 3149369

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	May 21, 2026	n/a	yes	LAKEWOOD RANCH, FL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 6, 2023	Jun 4, 2026	no	LAKEWOOD RANCH, FL\|Bradenton, FL\|LAKEWOOD RANCH, FL\|SAN DIEGO, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jul 17, 2020	Feb 6, 2023	no	SOUTH WINDSOR, CT\|BRADENTON, FL	Previous registration
INVESTACORP ADVISORY SERVICES INC	Former SEC adviser	Jan 6, 2008	Jul 17, 2020	no	SOUTH WINDSOR, CT\|SOUTH WINDSOR, CT\|SOUTH WINDSOR, CT	Previous registration
LADENBURG THALMANN ASSET MANAGEMENT INC	Other adviser	Aug 23, 2004	Jan 29, 2009	no	MELVILLE, NY\|NEW YORK, 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
LPL FINANCIAL LLC	OSAIC WEALTH, INC.	Jun 4, 2026	May 21, 2026	-14	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Feb 6, 2023	Feb 6, 2023	0	Bulk transfer	Ibd to RIA
INVESTACORP ADVISORY SERVICES INC	SECURITIES AMERICA ADVISORS, INC.	Jul 17, 2020	Jul 17, 2020	0	Bulk transfer	Ibd to ibd
LADENBURG THALMANN ASSET MANAGEMENT INC	INVESTACORP ADVISORY SERVICES INC	Jan 29, 2009	Jan 6, 2008	-389	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:23131:CA:2026-05-26	Jun 4, 2026	May 21, 2026	SAN DIEGO, CA	Firm change

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
May 21, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 6, 2023 to Jun 4, 2026factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jul 17, 2020 to Feb 6, 2023factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jan 6, 2008 to Jul 17, 2020factForm ADV
→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Aug 23, 2004 to Jan 29, 2009factForm ADV

Dated events

Occurred
Jun 4, 2026
Advisor changed firm
Michael Thomas Mundo left Lpl Financial Llc for Osaic Wealth, Inc. (registered 2026-05-21)
Form ADVobserved 5 days ago