Brian D. Yaiser

OSAIC WEALTH

Middleport, NY 14105

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CRD#: 1258534

Professional summary

Brian D Yaiser SR, who also goes by Brian D Yaiser, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Middleport, New York.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian D Yaiser

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) IRONBRIDGE WEALTH COUNSEL, LLC POSITION: Private Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/15/2023 ADDRESS: 15 Main Street, Middleport NY 14105, United States DESCRIPTION: Marketing name for securities and insurance business. 2) YAZE PROPERTIES LLC POSITION: Owner NATURE: Management rentals and development. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2010 ADDRESS: 5432 Royalton Center Road, Middleport NY 14105, United States DESCRIPTION: Management, rentals and development of residential and light commercial properties 3) YAZE ACRES DBA POSITION: Owner NATURE: Family Farm INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/08/1985 ADDRESS: 5432 Royalton Center Road, Middleport NY 14105, United States DESCRIPTION: Family Farm 4) SALVATION ARMY POSITION: Board Member NATURE: Charitable Organization, Lockport Corps INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/16/2024 ADDRESS: 50 Cottage Street, Lockport NY 14094, United States DESCRIPTION: Volunteer serving meals for homeless individuals, assisting with the kittle drive at Christmas time. As well as advising the organization on policy and future directions of the entity. 5. SHILOH LLC POSITION: Single Member NATURE: Family Camp Ground Rental INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/05/2024 ADDRESS: 37 New Road, Hammond NY 13646, United States DESCRIPTION: Previously used by family only, however current plan is to offer camp as rentals. 6. YAZE ENTERTAINMENT LLC POSITION: Single Member NATURE: Event Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2025 ADDRESS: 5432 Royalton Center Road, Middleport NY 14105, United States DESCRIPTION: Ownership 7. YAZE ANTIQUES LLC POSITION: Single Member NATURE: Retail INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/05/2025 ADDRESS: 5432 Royalton Center Road, Middleport NY 14105, United States DESCRIPTION: Owner 8. YAZE CAPITAL LLC POSITION: Single Member NATURE: Ownership INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2025 ADDRESS: 5432 Royalton Center Road, Middleport NY 14105, United States DESCRIPTION: Owner of Personally Managed investments

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian D Yaiser SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brian D Yaiser SR'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®

None

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 15 Main Street, Middleport, NY 14105Office #2: 45 Main St, Lockport , NY 14094

RIA

CRD#: 23131

Middleport, NY

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 15 Main Street, Middleport, NY 14105Office #2: 45 Main St, Lockport , NY 14094

RIA

CRD#: 23131

Middleport, NY

Past

May 15, 2023 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MIDDLEPORT, NY

Past

May 15, 2023 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

MIDDLEPORT, NY

Past

March 5, 2014 - May 16, 2023

OSAIC FA, INC.

RIA

CRD#: 3978

MIDDLEPORT, NY

Past

July 18, 2002 - April 12, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

June 1, 1998 - May 16, 2023

OSAIC FA, INC.

CRD#: 3978

MIDDLEPORT, NY

Past

February 19, 1985 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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
(9/1/2023)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Louisiana
(9/1/2023)

New Hampshire
(9/1/2023)

New York
(9/1/2023)

IAR

New York
(9/1/2023)

North Carolina
(9/1/2023)

Pennsylvania
(9/1/2023)

South Carolina
(9/1/2023)

Tennessee
(9/1/2023)

Texas
(9/1/2023)

Wyoming
(9/1/2023)

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: 2/26/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 12/12/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/15/1985

Investment Company Products/Variable Contracts Representative 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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Brian D. Yaiser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian D Yaiser SR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian D Yaiser SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2014

Series 63

Date: 3/29/1985

SIE

Date: 10/1/2018

Series 22

Date: 12/12/1985

Series 6

Date: 2/15/1985

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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