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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

MARK DAVID LEA

Advisor at AUSDAL FINANCIAL PARTNERS, INC.

CANFIELD, OH | COON RAPIDS, MN

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Search this name across graphsid dfx:ria:ff58fd3c-e8e6-1c3e-8e58-6012b44ea864

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 6, 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: AUSDAL FINANCIAL PARTNERS, 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: Mar 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 4, 1994
First registration: Jan 6, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 2447310

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
AUSDAL FINANCIAL PARTNERS, INC.	Independent wealth	May 2, 2025	n/a	yes	COON RAPIDS, MN\|CANFIELD, OH	Current employment
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Oct 14, 2024	May 7, 2025	no	ATLANTA, GA\|Coon Rapids, MN	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Oct 11, 2024	Oct 11, 2024	no	COON RAPIDS, MN\|SCOTTSDALE, AZ	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Apr 6, 2010	Oct 11, 2024	no	HOLBROOK, NY	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Jan 6, 2005	Feb 26, 2007	no	COON RAPIDS, MN\|COON RAPIDS, MN	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 ADVISORY SERVICES, LLC	AUSDAL FINANCIAL PARTNERS, INC.	May 7, 2025	May 2, 2025	-5	Firm change	Ibd to RIA
AMERICAN PORTFOLIOS ADVISORS, INC	OSAIC WEALTH, INC.	Oct 11, 2024	Oct 11, 2024	0	Bulk transfer	Ibd to ibd
OSAIC WEALTH, INC.	OSAIC ADVISORY SERVICES, LLC	Oct 11, 2024	Oct 14, 2024	3	Firm change	Ibd to ibd
UNITED SECURITIES ALLIANCE, INC.	AMERICAN PORTFOLIOS ADVISORS, INC	Feb 26, 2007	Apr 6, 2010	1,135	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
23131:171070:AZ:2024-10-11	Oct 11, 2024	Oct 14, 2024	SCOTTSDALE, AZ	Firm change

Relationships

Registered with (5)

→ AUSDAL FINANCIAL PARTNERS, INC.Registered adviserregistration: current employment
May 2, 2025 to presentfactForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Oct 14, 2024 to May 7, 2025factForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Apr 6, 2010 to Oct 11, 2024factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Oct 11, 2024 to Oct 11, 2024factForm ADV
→ UNITED SECURITIES ALLIANCE, INC.Registered adviserregistration: previous registration
Jan 6, 2005 to Feb 26, 2007factForm ADV

Dated events

Occurred
May 7, 2025
Advisor changed firm
Mark David Lea left Osaic Advisory Services, Llc for Ausdal Financial Partners, Inc. (registered 2025-05-02)
Form ADVobserved 5 days ago
Occurred
Oct 11, 2024
Advisor changed firm
Mark David Lea left Osaic Wealth, Inc. for Osaic Advisory Services, Llc (registered 2024-10-14)
Form ADVobserved 5 days ago