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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

JOEL MOORE HARRIS

Advisor at OSAIC WEALTH, INC.

CARMEL, IN

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Search this name across graphsid dfx:ria:dbd6f6f3-6009-be30-7962-564a29f9b5cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 18, 2006 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: Sep 15, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 15, 2006
First registration: Sep 18, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5184086

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	Jun 18, 2024	n/a	yes	CARMEL, IN	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 5, 2018	Jun 26, 2024	no	FISHERS, IN\|CARMEL, IN\|FISHERS, IN	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Dec 7, 2018	no	CARMEL, IN\|CARMEL, IN	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Nov 2, 2018	no	CARMEL, IN\|CARMEL, IN	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Apr 9, 2010	May 13, 2016	no	CARMEL, IN\|INDIANAPOLIS, IN	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 14, 2008	Apr 13, 2010	no	CARMEL, IN\|WESTFIELD, IN\|CARMEL, IN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	May 14, 2008	no	INDIANAPOLIS, IN	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Sep 18, 2006	Jan 1, 2008	no	INDIANAPOLIS, IN\|ST. LOUIS, MO	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 26, 2024	Jun 18, 2024	-8	Firm change	Ibd to ibd
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Dec 7, 2018	Dec 5, 2018	-2	Firm change	Ibd to RIA
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Apr 13, 2010	Apr 9, 2010	-4	Firm change	Other
WELLS FARGO ADVISORS	CHASE INVESTMENT SERVICES CORP.	May 14, 2008	May 14, 2008	0	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (7)

→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Dec 7, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 5, 2018 to Jun 26, 2024factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Nov 2, 2018factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 9, 2010 to May 13, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 14, 2008 to Apr 13, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to May 14, 2008factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Sep 18, 2006 to Jan 1, 2008factForm ADV

Dated events

Occurred
Jun 26, 2024
Advisor changed firm
Joel Moore Harris left Lpl Financial Llc for Osaic Wealth, Inc. (registered 2024-06-18)
Form ADVobserved 4 days ago