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Detailed Report
Daniel Gaines
DAN REED GAINES, DAN GAINES, DANIEL R GAINES, DANIEL GAINES, Daniel Reed Gaines
CRD#: 3254566
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 771 ST LUCIE W BLVD
PORT ST LUCIE, FL 34986
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2011 (11 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
California 11/29/2022
B
New York 3/3/2023
B
Florida 8/23/2022
B
Ohio 9/19/2022
IA
Florida 8/23/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
771 ST LUCIE W BLVD, PORT ST LUCIE, FL 34986
Registered with this firm since 8/23/2022
B
OSAIC WEALTH, INC. (CRD#:23131)
771 ST LUCIE W BLVD, PORT ST LUCIE, FL 34986
Registered with this firm since 8/5/2022
Previous Registration(s)
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IA
 05/28/2020 - 08/11/2022 LPL FINANCIAL LLC (CRD#:6413) BOCA RATON, FL
B
 05/27/2020 - 08/11/2022 LPL FINANCIAL LLC (CRD#:6413) BOCA RATON, FL
IA
 08/11/2017 - 07/16/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) VERO BEACH, FL
B
 08/10/2017 - 07/16/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) VERO BEACH, FL
IA
 08/14/2015 - 02/06/2017 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) PORT ST. LUCIE, FL
B
 07/31/2015 - 02/06/2017 SECURITIES AMERICA, INC. (CRD#:10205) PORT ST. LUCIE, FL
IA
 05/11/2015 - 08/04/2015 FINTEGRA, LLC (CRD#:16741) Fort Pierce, FL
B
 04/20/2015 - 08/04/2015 FINTEGRA, LLC (CRD#:16741) Fort Pierce, FL
IA
 07/23/2014 - 04/10/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORT SAINT LUCIE, FL
B
 07/17/2014 - 04/10/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORT SAINT LUCIE, FL
IA
 10/15/2012 - 07/10/2014 INVEST FINANCIAL CORPORATION (CRD#:12984) STUART, FL
B
 10/12/2012 - 07/10/2014 INVEST FINANCIAL CORPORATION (CRD#:12984) STUART, FL
IA
 09/07/2011 - 08/13/2012 PNC INVESTMENTS (CRD#:129052) PALM CITY, FL
B
 08/31/2011 - 08/13/2012 PNC INVESTMENTS (CRD#:129052) PALM CITY, FL
IA
 05/31/2011 - 08/19/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) STUART, FL
B
 05/27/2011 - 08/19/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) STUART, FL
IA
 08/19/1999 - 06/09/2011 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) PORT ST. LUCIE, FL
B
 08/12/1999 - 06/09/2011 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) PORT ST. LUCIE, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.