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Detailed Report
JOSEPH DANIEL DAHL
CRD#: 4372920
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 575 MILITARY CUTOFF RD.
WILMINGTON, NC 28405
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - 2017 (6 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - 2024 (4 years)2 FIRMS2024 - Present (1 year)BSECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2004 - 2010 (6 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2002 - 2004 (2 years)BWMA SECURITIES, INC. (CRD# 32625)2001 - 2002 (<1 year)IASECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2009 - 2010 (1 year)
License(s)

State Registrations

B
California 1/19/2024
B
North Carolina 1/19/2024
B
Colorado 1/19/2024
IA
North Carolina 1/19/2024
B
Florida 1/19/2024
B
Pennsylvania 1/19/2024
B
Georgia 1/19/2024
B
South Carolina 1/19/2024
B
Maine 1/19/2024
B
South Dakota 1/19/2024
B
Maryland 1/19/2024
B
Tennessee 6/12/2024
B
New Jersey 1/19/2024
B
Virginia 1/19/2024
B
New York 1/19/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
575 MILITARY CUTOFF RD., WILMINGTON, NC 28405
Registered with this firm since 1/19/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
575 MILITARY CUTOFF RD., WILMINGTON, NC 28405
Registered with this firm since 1/19/2024
Previous Registration(s)
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IA
 03/01/2019 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) WILMINGTON, NC
B
 03/01/2019 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) WILMINGTON, NC
IA
 02/01/2017 - 03/01/2019 QUESTAR ASSET MANAGEMENT, INC. (CRD#:133358) WILMINGTON, NC
B
 02/01/2017 - 03/01/2019 QUESTAR CAPITAL CORPORATION (CRD#:43100) WILMINGTON, NC
IA
 11/03/2010 - 02/01/2017 CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC (CRD#:131631) WILMINGTON, NC
B
 11/01/2010 - 02/01/2017 CAPITAL GUARDIAN, LLC (CRD#:137919)
FINRA expelled the firm on 01/18/2018
WILMINGTON, NC
IA
 07/02/2009 - 11/04/2010 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) WILMINGTON, NC
B
 07/09/2004 - 11/04/2010 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) WILMINGTON, NC
B
 04/12/2002 - 05/14/2004 WORLD GROUP SECURITIES, INC. (CRD#:114473) DULUTH, GA
B
 08/28/2001 - 04/12/2002 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
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.