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Detailed Report
DAVID BERNARD ADAMS
CRD#: 4138711
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 6006 N MESA ST STE 901
EL PASO, TX 79912
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (4 years)2 FIRMS2010 - 2017 (6 years)2 FIRMS2017 - 2024 (7 years)2 FIRMS2024 - Present (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2006 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2002 - 2004 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)2000 - 2000 (<1 year)IAMORGAN STANLEY (CRD# 7556)2005 - 2006 (1 year)
Disclosure(s)
View By:
5/9/2008
Customer Dispute
Denied
License(s)

State Registrations

B
California 6/14/2024
B
Texas 6/14/2024
B
Maryland 6/14/2024
IA
Texas 6/14/2024
B
New Mexico 6/14/2024
B
Utah 6/14/2024
B
North Carolina 6/14/2024
B
Washington 1/8/2025

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)
6006 N MESA ST STE 901, EL PASO, TX 79912
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
6006 N MESA ST STE 901, EL PASO, TX 79912
Registered with this firm since 6/14/2024
Previous Registration(s)
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IA
 02/15/2017 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) EL PASO, TX
B
 02/15/2017 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) EL PASO, TX
IA
 12/03/2010 - 03/03/2017 LPL FINANCIAL LLC (CRD#:6413) EL PASO, TX
B
 12/03/2010 - 03/03/2017 LPL FINANCIAL LLC (CRD#:6413) EL PASO, TX
IA
 02/24/2006 - 12/06/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EL PASO, TX
B
 02/24/2006 - 12/06/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EL PASO, TX
IA
 02/10/2005 - 02/27/2006 MORGAN STANLEY (CRD#:7556) EL PASO, TX
B
 03/15/2004 - 02/27/2006 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 11/27/2002 - 01/26/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 04/18/2000 - 10/27/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.