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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

DAVID RAY RODRIGUEZ

Advisor at OSAIC WEALTH, INC.

AUSTIN, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2001 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: Aug 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 23, 1995
First registration: Mar 30, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2645831

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	AUSTIN, TX	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2005	Sep 1, 2023	no	AUSTIN, TX\|BEDFORD, TX	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Apr 13, 2004	Oct 31, 2005	no	AUSTIN, TX	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Mar 30, 2001	Jan 23, 2004	no	AUSTIN, TX	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
SUNAMERICA SECURITIES, INC.	SAGEPOINT FINANCIAL, INC.	Oct 31, 2005	Oct 31, 2005	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	SUNAMERICA SECURITIES, INC.	Jan 23, 2004	Apr 13, 2004	81	Firm change	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
Oct 31, 2005 to Sep 1, 2023factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Apr 13, 2004 to Oct 31, 2005factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Mar 30, 2001 to Jan 23, 2004factForm ADV

Dated events

No dated event names this entity yet.