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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Stefan Arthur Johnson

Advisor at OSAIC WEALTH, INC.

Dubuque, IA

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Search this name across graphsid dfx:ria:feb3484f-2197-c7c3-bf30-1b16eada0345

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 7, 2018 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: Feb 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 11, 2018
First registration: Jun 7, 2018
Dual registered: yes, broker-dealer
Other names: Stefan Arthur Johnson|Stefan A Johnson
IAPD individual key: 6940314

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	Oct 3, 2025	n/a	yes	Dubuque, IA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	Oct 10, 2025	no	DUBUQUE, IA\|WAUWATOSA, WI	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 26, 2021	Nov 14, 2024	no	Dubuque, IA\|Dubuque, IA\|West Des Moines, IA\|WAUWATOSA, WI	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Dec 5, 2018	Jul 21, 2021	no	MADISON, WI\|Madison, WI	Previous registration
THE LIFE GROUP FINANCIAL SERVICES	Independent wealth	Jun 7, 2018	Sep 6, 2018	no	Dubuque, IA\|DUBUQUE, IA	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
LPL ENTERPRISE, LLC	OSAIC WEALTH, INC.	Oct 10, 2025	Oct 3, 2025	-7	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
TRANSAMERICA FINANCIAL ADVISORS, LLC	PRUCO SECURITIES, LLC	Jul 21, 2021	Jul 26, 2021	5	Firm change	Ibd to ibd
THE LIFE GROUP FINANCIAL SERVICES	TRANSAMERICA FINANCIAL ADVISORS, LLC	Sep 6, 2018	Dec 5, 2018	90	Firm change	RIA to ibd

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Oct 3, 2025 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to Oct 10, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 26, 2021 to Nov 14, 2024factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 5, 2018 to Jul 21, 2021factForm ADV
→ THE LIFE GROUP FINANCIAL SERVICESRegistered adviserregistration: previous registration
Jun 7, 2018 to Sep 6, 2018factForm ADV

Dated events

Occurred
Oct 10, 2025
Advisor changed firm
Stefan Arthur Johnson left Lpl Enterprise, Llc for Osaic Wealth, Inc. (registered 2025-10-03)
Form ADVobserved 5 days ago