David A. Riback

OSWEGO WEALTH MANAGEMENT

Tualatin, OR 97062

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CRD#: 1097586

Professional summary

David Alan Riback is a registered financial advisor currently at OSWEGO WEALTH MANAGEMENT, INC. located in Tualatin, Oregon and LPL FINANCIAL LLC located in Tualatin, Oregon.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 3/8/2013 - Riback Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 30% - Fixed insurance-LTC, term life. 2. 9/22/2015 - Oswego Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 10/14/2005 - 50 Hours Per Month/30 Hours During Securities Trading. 3. 2/5/2019 - No Business Name - Investment Related - The Dalles, OR 97058 - Real Estate Rental - Started 06/01/2007 - 1 Hour Per Month During Securities Trading. 4. 2/18/2021 - Riback Wealth Management, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 03/02/2020 - 80 Hours Per Month During Securities Trading - LPL payroll, expenses, and commission. 5. 2/18/2021 - Oswego Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/01/2020 - 50 Hours Per Month/30 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Riback's CRS (Customer Relationship Summary).

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

Current

May 1, 2020 - Present

OSWEGO WEALTH MANAGEMENT, INC.

Office #1: 18840 Sw Boones Ferry Road Suite 200, Tualatin, OR 97062

RIA

CRD#: 307378

Tualatin, OR

Current

April 1, 2013 - Present

LPL FINANCIAL LLC

Office #1: 18840 Sw Boones Ferry Rd Suite 200, Tualatin, OR 97062

RIA

CRD#: 6413

Tualatin, OR

Past

February 12, 2014 - June 30, 2020

WELLSPRING ADVISORS, INC.

RIA

CRD#: 147861

LAKE OSWEGO, OR

Past

April 9, 2013 - December 8, 2014

STRATEGIC FINANCIAL PARTNERS, LTD

RIA

CRD#: 148858

LAKE OSWEGO, OR

Past

January 12, 2012 - June 21, 2013

WELLSPRING ADVISORS, INC.

RIA

CRD#: 147861

LAKE OSWEGO, OR

Past

January 3, 2012 - April 1, 2013

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

LAKE OSWEGO, OR

Past

December 4, 2003 - January 12, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAKE OSWEGO, OR

Past

December 4, 2003 - January 12, 2012

LPL FINANCIAL LLC

CRD#: 6413

LAKE OSWEGO, OR

Past

October 26, 1999 - December 19, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

LAKE OSWEGO, OR

Past

January 23, 1999 - December 17, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

April 7, 1994 - January 22, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 3, 1994 - March 7, 1994

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

August 24, 1989 - June 1, 1990

U.S. SECURITIES CLEARING CORP.

CRD#: 15403

SAN DIEGO, CA

Past

June 2, 1987 - May 9, 1988

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

Past

September 9, 1983 - June 19, 1987

WADDELL & REED

CRD#: 866

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/8/2013)

Florida
(4/26/2023)

Idaho
(11/25/2014)

Oregon
(4/1/2013)

IAR

Oregon
(5/1/2020)

Pennsylvania
(4/1/2013)

South Dakota
(4/19/2022)

Texas
(3/29/2022)

IAR

Texas
(12/20/2022)

Virginia
(4/1/2013)

Washington
(4/1/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/25/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/16/1996

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/2/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSWEGO WEALTH MANAGEMENT, INC.

OSWEGO WEALTH MANAGEMENT | RIBACK WEALTH MANAGEMENT, INC. | OSWEGO WEALTH MANAGEMENT, INC.

CRD#: 307378 / SEC#:

Oregon

Registered Investment Advisory firm - (4/27/2020 Approved)

Texas

Registered Investment Advisory firm - (12/20/2022 Conditional Restricted)

Washington

Registered Investment Advisory firm - (3/12/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

18840 Sw Boones Ferry Road Suite 200, Tualatin, OR 97062

Mailing Address

Phone number

(503) 603-0872

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 36,502,826

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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David A. Riback

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Riback's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

WELLSPRING ADVISORS, INC.

STRATEGIC FINANCIAL PARTNERS, LTD

WELLSPRING ADVISORS, INC.

SECURITIES SERVICE NETWORK, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

MML INVESTORS SERVICES, LLC

WS GRIFFITH SECURITIES, INC.

U.S. SECURITIES CLEARING CORP.

PAULSON INVESTMENT COMPANY LLC

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/1999

Series 63

Date: 2/4/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/13/1999

Series 22

Date: 8/16/1996

Series 6

Date: 2/2/1994

FINRA

Current Firm

OSWEGO WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OSWEGO WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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