William M. Bierlein

Some features on this profile are disabled

CRD#: 1041157

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Michael Bierlein III, who also goes by Bud Bierlein III, Bud Bierlein, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1982. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bud Bierlein Iii | Bud Bierlein

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 23, 2014 - November 20, 2015

OSAIC WEALTH, INC.

CRD#: 23131

MCLEAN, VA

Past

November 20, 1996 - January 10, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

STUART, FL

Past

November 1, 1996 - January 10, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

STUART, FL

Past

April 24, 1992 - November 5, 1996

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

January 1, 1991 - May 21, 1992

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

November 21, 1989 - December 7, 1990

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

July 21, 1989 - November 16, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 7, 1989 - July 27, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

June 3, 1983 - November 16, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

December 21, 1982 - June 20, 1983

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/25/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/6/1993

General Securities Principal Examination

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William M. Bierlein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IFG NETWORK SECURITIES, INC.

DERAND/PENNINGTON/BASS, INC.

MERIDIAN, DUNHILL & CO., INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CITIGROUP GLOBAL MARKETS INC.

INTEGRATED RESOURCES EQUITY CORPORATION

DERAND/PENNINGTON/BASS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1993

Series 63

Date: 1/3/1983

SIE

Date: 11/20/2015

Series 31

Date: 9/25/2003

Series 7

Date: 12/18/1982

Series 24

Date: 8/6/1993

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors