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

STEPHEN JAMES GEIS

Advisor at OSAIC WEALTH, INC.

Vero Beach, FL

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Search this name across graphsid dfx:ria:f5c3368c-1053-a30b-63c4-7769d51d12fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 31, 2005 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: Oct 28, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Oct 28, 2005
First registration: Oct 31, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 5020334

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 7, 2018	n/a	yes	Vero Beach, FL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 15, 2015	Jun 9, 2015	no	Hamilton Square, NJ	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Aug 5, 2009	Nov 5, 2018	no	LIVINGSTON, NJ\|HAMILTON, NJ\|LIVINGSTON, NJ\|BOSTON, MA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jan 2, 2009	Jul 9, 2009	no	HAMILTON TOWNSHIP, NJ\|BALA CYNWYD, PA\|HAMILTON TOWNSHIP, NJ	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Jul 12, 2006	Jan 5, 2009	no	HAMILTON, NJ\|YARDLEY, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 31, 2005	Dec 12, 2005	no	PRINCETON, NJ	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
SIGNATOR INVESTORS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 5, 2018	May 15, 2015	-1,270	Firm change after gap	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	OSAIC WEALTH, INC.	Jun 9, 2015	Nov 7, 2018	1,247	Firm change after gap	Ibd to ibd
EQUITABLE ADVISORS, LLC	SIGNATOR INVESTORS, INC.	Jul 9, 2009	Aug 5, 2009	27	Firm change	Other
SIGNATOR INVESTORS, INC.	EQUITABLE ADVISORS, LLC	Jan 5, 2009	Jan 2, 2009	-3	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	SIGNATOR INVESTORS, INC.	Dec 12, 2005	Jul 12, 2006	212	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 7, 2018 to presentfactForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Aug 5, 2009 to Nov 5, 2018factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 15, 2015 to Jun 9, 2015factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jul 9, 2009factForm ADV

Dated events

No dated event names this entity yet.