Dale A. Wood

OSAIC WEALTH

Lake Forest, CA 92630

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CRD#: 1212906

Professional summary

Dale A. Wood, CFP®, who also goes by Dale Alison Reeve, Dale Alison Wood, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Lake Forest, California.

Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Dale has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

What are your service offerings?

Estate Planning

Investment Planning

Retirement Income Management

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

Dale Alison Reeve | Dale Alison Wood

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.

DALE WOOD POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/1990 ADDRESS: 22954 el toro road, lake forest CA 92675, United States DESCRIPTION: offer fixed & variable annuity insurance, fixed life

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale A. Wood's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dale A. Wood's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

February 14, 2017 - Present

OSAIC WEALTH, INC.

Office #1: 22954 El Toro Road, Lake Forest, CA 92630

RIA

CRD#: 23131

Lake Forest, CA

Current

September 20, 1990 - Present

OSAIC WEALTH, INC.

Office #1: 22954 El Toro Road, Lake Forest, CA 92630

RIA

CRD#: 23131

Lake Forest, CA

Past

July 8, 1997 - May 1, 2006

OSAIC WEALTH, INC.

RIA

CRD#: 23131

LAKE FOREST, CA

Past

April 3, 1990 - September 25, 1990

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

CRD#: 16116

Past

August 15, 1989 - March 15, 1990

FIRST IMPERIAL INVESTOR SERVICES, INC.

CRD#: 20722

Past

March 4, 1989 - June 8, 1989

GFC SECURITIES CORPORATION

CRD#: 10665

Past

August 26, 1987 - June 1, 1989

CONTINENTAL EQUITIES CORPORATION OF AMERICA

CRD#: 16383

Past

March 7, 1986 - March 15, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

August 22, 1984 - December 13, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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.

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

Arizona
(4/30/2002)

California
(10/1/1990)

IAR

California
(2/14/2017)

Florida
(4/15/1993)

Idaho
(1/24/2002)

Illinois
(2/8/2022)

Nevada
(4/7/2003)

Oregon
(11/19/2001)

South Carolina
(10/1/2021)

Texas
(9/6/2024)

Washington
(1/11/2001)

Wisconsin
(8/2/2011)

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

Series 63

Date: 10/19/1984

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: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/1/1987

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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)

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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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Dale A. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale A. Wood's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dale A. Wood's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

FIRST IMPERIAL INVESTOR SERVICES, INC.

GFC SECURITIES CORPORATION

CONTINENTAL EQUITIES CORPORATION OF AMERICA

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 26

Date: 10/1/1987

FINRA

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

Contact information

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