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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

BRANDON LEE DIXON-JAMES

Advisor at NWF ADVISORY SERVICES INC

Fresno, CA | LOS ANGELES, CA | FRESNO, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:f7ebae4d-1218-f1db-e142-9a9c89b736f1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 24, 2005 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: NWF ADVISORY SERVICES INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 2
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 2, 2004
First registration: Jan 24, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4812434

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
LPL FINANCIAL LLC	Bd affiliated wealth	May 29, 2025	n/a	yes	FRESNO, CA\|Fresno, CA\|SAN DIEGO, CA	Current employment
NWF ADVISORY SERVICES INC	Independent wealth	Oct 8, 2013	n/a	yes	Fresno, CA\|LOS ANGELES, CA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 11, 2013	May 30, 2025	no	LOS ANGELES, CA\|ENCINO, CA\|ENCINO, CA\|FRESNO, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jan 8, 2013	no	GRANADA HILLS, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Feb 12, 2010	Oct 1, 2012	no	GRANADA HILLS, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 5, 2008	Jan 21, 2010	no	GLENDALE, CA\|Tarzana, CA\|Woodland Hills, CA\|Woodland Hills, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jan 22, 2007	Aug 6, 2008	no	CANOGA PARK, CA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jan 24, 2005	Jan 22, 2007	no	FRESNO, CA\|FRESNO, CA	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 WEALTH, INC.	NWF ADVISORY SERVICES INC	May 30, 2025	Oct 8, 2013	-4,252	Firm change after gap	Other
J.P. MORGAN SECURITIES LLC	OSAIC WEALTH, INC.	Jan 8, 2013	Jan 11, 2013	3	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	CHASE INVESTMENT SERVICES CORP.	Jan 21, 2010	Feb 12, 2010	22	Firm change	Other
WAMU INVESTMENTS, INC.	CITIGROUP GLOBAL MARKETS INC.	Aug 6, 2008	Aug 5, 2008	-1	Firm change	Other
PRUCO SECURITIES, LLC	WAMU INVESTMENTS, INC.	Jan 22, 2007	Jan 22, 2007	0	Firm change	Other

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 29, 2025 to presentfactForm ADV
→ NWF ADVISORY SERVICES INCRegistered adviserregistration: current employment
Oct 8, 2013 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jan 11, 2013 to May 30, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jan 8, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Feb 12, 2010 to Oct 1, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 5, 2008 to Jan 21, 2010factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 22, 2007 to Aug 6, 2008factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 24, 2005 to Jan 22, 2007factForm ADV

Dated events

Occurred
May 30, 2025
Advisor changed firm
Brandon Lee Dixon-James left Osaic Wealth, Inc. for Nwf Advisory Services Inc (registered 2013-10-08)
Form ADVobserved 6 days ago