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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

NIGEL ADAM GUNTHARP

Advisor at OSAIC WEALTH, INC.

PIKE ROAD, AL | MONTGOMERY, AL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 18, 2006 to Sep 15, 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 16, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom 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: S66
First exam: Dec 16, 2006
First registration: Dec 18, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5230525

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	Nov 3, 2023	n/a	yes	PIKE ROAD, AL\|MONTGOMERY, AL	Current employment
FSC SECURITIES CORPORATION	Former SEC adviser	Dec 10, 2009	Nov 3, 2023	no	MONTGOMERY, AL\|WETUMPKA, AL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Jul 30, 2007	Dec 10, 2009	no	BIRMINGHAM, AL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jul 31, 2007	no	MONTGOMERY, AL	Previous registration
MORGAN STANLEY DW INC.	n/a	Dec 18, 2006	Apr 2, 2007	no	MONTGOMERY, AL	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
FSC SECURITIES CORPORATION	OSAIC WEALTH, INC.	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	Ibd to ibd
STERNE AGEE ASSET MANAGEMENT, INC.	FSC SECURITIES CORPORATION	Dec 10, 2009	Dec 10, 2009	0	Firm change	Other
MORGAN STANLEY & CO. LLC	STERNE AGEE ASSET MANAGEMENT, INC.	Jul 31, 2007	Jul 30, 2007	-1	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 10, 2009 to Nov 3, 2023factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jul 30, 2007 to Dec 10, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jul 31, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Dec 18, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.