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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

STEVEN MICHAEL GOLDBERG

Advisor at OSAIC WEALTH, INC.

YORKTOWN, VA | Rehoboth Beach, DE | ELLICOTT CITY, MD | Annapolis, MD

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Search this name across graphsid dfx:ria:e5eff597-9950-5a36-989b-20f39035ed28

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2003 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: Apr 5, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 5
Exams: S66|S63
First exam: Apr 5, 1993
First registration: Jan 2, 2003
Dual registered: yes, broker-dealer
Other names: STEVE GOLDBERG
IAPD individual key: 2258807

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	Jan 24, 2025	n/a	yes	Rehoboth Beach, DE\|ELLICOTT CITY, MD\|YORKTOWN, VA\|Annapolis, MD	Current employment
OSAIC FA, INC.	Former SEC adviser	Jun 20, 2018	Jan 24, 2025	no	ANNAPOLIS, MD\|YORKTOWN, VA\|ELLICOTT CITY, MD	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 19, 2016	Jun 7, 2018	no	BETHESDA, MD\|PASADENA, MD\|ANNAPOLIS, MD\|HYATTSVILLE, MD\|CHEVY CHASE, MD\|RIVERDALE, MD\|AVONDALE, MD\|GAMBRILLS, MD\|NEW CARROLLTON, MD\|SILVER SPRING, MD\|SILVER SPRING, MD\|SILVER SPRING, MD\|GAMBRILLS, MD\|ADELPHI, MD\|BETHESDA, MD\|HYATTSVILLE, MD	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jan 2, 2003	Dec 31, 2016	no	ADELPHI, MD\|GAMBRILLS, MD\|GAMBRILLS, MD\|SEVERNA PARK, MD\|SEVERNA PARK, MD\|HYATTSVILLE, MD\|NEW CARROLLTON, MD\|GLEN BURNIE, MD\|GLEN BURNIE, MD\|PASADENA, MD\|SILVER SPRING, MD\|ANNAPOLIS, MD\|SILVER SPRING, MD\|SILVER SPRING, MD\|HYATTSVILLE, MD\|RIVERDALE, MD\|HYATTSVILLE, MD\|CHEVY CHASE, MD\|BETHESDA, MD\|BETHESDA, MD\|HYATTSVILLE, MD	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
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
TRUIST ADVISORY SERVICES, INC.	OSAIC FA, INC.	Jun 7, 2018	Jun 20, 2018	13	Firm change	Ibd to ibd
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Aug 19, 2016	-134	Bulk transfer	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jun 20, 2018 to Jan 24, 2025factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Aug 19, 2016 to Jun 7, 2018factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Dec 31, 2016factForm ADV

Dated events

No dated event names this entity yet.