DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

THOMAS JOSEPH HARKINS

Advisor at OSAIC WEALTH, INC.

LANCASTER, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fcdea105-9776-43f9-e7bd-df88025471c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 2, 2007 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: Jan 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 23, 2007
First registration: Oct 2, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 2082004

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	LANCASTER, PA	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Apr 1, 2022	Sep 1, 2023	no	LANCASTER, PA	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 16, 2020	Apr 6, 2022	no	Lancaster, PA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	May 29, 2014	Jan 30, 2020	no	NEWARK, DE\|CAMP HILL, PA	Previous registration
AVANTAX ADVISORY SERVICES	Former SEC adviser	Mar 27, 2014	Apr 16, 2014	no	WILMINGTON, DE	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 2, 2007	Mar 20, 2014	no	WILMINGTON, DE\|BALA CYNWYD, PA	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
SECURIAN FINANCIAL SERVICES, INC.	SAGEPOINT FINANCIAL, INC.	Apr 6, 2022	Apr 1, 2022	-5	Firm change	RIA to ibd
PRUCO SECURITIES, LLC	SECURIAN FINANCIAL SERVICES, INC.	Jan 30, 2020	Jul 16, 2020	168	Firm change	Ibd to ibd
AVANTAX ADVISORY SERVICES	PRUCO SECURITIES, LLC	Apr 16, 2014	May 29, 2014	43	Firm change	Other
EQUITABLE ADVISORS, LLC	AVANTAX ADVISORY SERVICES	Mar 20, 2014	Mar 27, 2014	7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
15296:133763:PA:2022-04-06	Apr 6, 2022	Apr 1, 2022	LANCASTER, PA	Firm change

Relationships

Registered with (6)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Apr 1, 2022 to Sep 1, 2023factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 16, 2020 to Apr 6, 2022factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
May 29, 2014 to Jan 30, 2020factForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Mar 27, 2014 to Apr 16, 2014factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 2, 2007 to Mar 20, 2014factForm ADV

Dated events

Occurred
Apr 6, 2022
Advisor changed firm
Thomas Joseph Harkins left Securian Financial Services, Inc. for Sagepoint Financial, Inc. (registered 2022-04-01)
Form ADVobserved 6 days ago