Derek Bradley Ferriera

WELLS FARGO CLEARING SERVICES, LLC

DANVILLE, CA · CRD#

FALCON WEALTH PLANNING, LLC

San Jose, CA · CRD#

Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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WELLS FARGO CLEARING SERVICES, LLC

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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WELLS FARGO CLEARING SERVICES, LLC

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Credentials

CFP®

Certified Financial PlannerSince 1990

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Years of Experience

42 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 2105 S. Bascom Avenue Suite 300, Campbell, CA 950082. 737 Bishop Street Suite 2820, Honolulu, HI 96813

January 24, 2025 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 2105 S. Bascom Avenue Suite 300, Campbell, CA 950082. 737 Bishop Street Suite 2820, Honolulu, HI 96813

January 24, 2025 - Present

Past

OSAIC FA, INC.Past·CRD# 3978

BD

Kihei, HI

June 1, 1998 - January 24, 2025

OSAIC FA, INC.Past·CRD# 3978

RIA

Kihei, HI

December 19, 1997 - January 24, 2025

THE LINCOLN NATIONAL LIFE INSURANCE COMPANYPast·CRD# 2580

BD

Fort Wayne, IN

April 3, 2001 - June 6, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.Past·CRD# 145

BD

Radnor, PA

February 2, 1994 - June 1, 1998

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANYPast·CRD# 5181

BD

Boston, MA

September 13, 1984 - January 28, 1994

SIGNATOR INVESTORS, INC.Past·CRD# 468

BD

Boston, MA

September 13, 1984 - January 28, 1994

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WELLS FARGO CLEARING SERVICES, LLC

DANVILLE, CA · CRD#

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

OW

OSAIC WEALTH, INC.

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

RIA

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

BD

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

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

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
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
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. C SOLUTIONS POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1994 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA 95008 DESCRIPTION: Disability, life, annuity, property & casualty insurance, premium financing, and life settlements. 2. WELCOME FUNDS INC. POSITION: Agent NATURE: Life Settlements INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/2009 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA 95008 DESCRIPTION: Assist clients with life settlements. 3. DEREK FERRIERA POSITION: Owner NATURE: Real Estate Rental INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/2015 ADDRESS: 615 Serpentine Court, Morgan Hill CA DESCRIPTION: Manage rental property. 4. DEREK FERRIERA POSITION: Co-Author NATURE: Media INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/2019 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA DESCRIPTION: Co-author of financial book. 5. PROSPERA SUCCESSION PARTNERS LLC POSITION: Partner NATURE: LLC for shared operating expenses INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2026 ADDRESS: 17400 Laguna Canyon Rd., Suite 125, Irvine CA 92618, United States DESCRIPTION: Vote on partner decisions and assist with operations. 6. DEREK B. FERRIERA, CLU, CFP, CHFC, REBC POSITION: Agent NATURE: Critical illness insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/15/2009 ADDRESS: 17062 Tassajara Circle, Morgan Hill CA 95037, United States DESCRIPTION: Market critical illness insurance to clients. 7. C SOLUTIONS LLC POSITION: Manager NATURE: LLC for insurance commissions and expenses INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/12/2022 ADDRESS: 17062 Tassajara Circle, Morgan Hill CA 95037, United States DESCRIPTION: Bookkeeping and expense tracking. 8. SAGEMARK CONSULTING AND C SOLUTIONS POSITION: Agent NATURE: Insurance brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1994 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA 95008, United States DESCRIPTION: Insurance and annuity brokerage. 9. DEREK B. FERRIERA POSITION: Agent NATURE: Premium financing INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/06/2018 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA 95008, United States DESCRIPTION: Coordinate financing vendor and client communications. 10. DEREK FERRIERA INC. POSITION: Owner/CEO NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2026 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA 95008, United States DESCRIPTION: Financial planning, investments, and insurance. 11. FAMILY OFFICE GROWTH PARTNERS, LLC POSITION: Referring Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 09/29/2026 ADDRESS: 2105 S. Bascom Ave., Suite 300, Campbell CA 95008, United States DESCRIPTION: Refer qualified clients to family office services. FOGP independently contracts, bills, and provides services; Osaic Wealth is not a party to the engagement.

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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".

OW

OSAIC WEALTH, INC.

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

RIA

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

BD

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.

RR

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

RR

Arizona
(1/24/2025)

RR

California
(1/24/2025)

IAR

California
(1/24/2025)

RR

Colorado
(1/24/2025)

RR

Florida
(1/24/2025)

RR

Georgia
(1/24/2025)

RR

Hawaii
(1/24/2025)

IAR

Hawaii
(8/12/2025)

RR

Idaho
(1/24/2025)

RR

Massachusetts
(1/24/2025)

IAR

Massachusetts
(5/22/2025)

RR

Missouri
(1/24/2025)

RR

Nevada
(1/24/2025)

RR

New Jersey
(1/24/2025)

RR

New York
(9/29/2026)

RR

Ohio
(1/24/2025)

RR

Oregon
(1/24/2025)

RR

Pennsylvania
(1/24/2025)

RR

Tennessee
(1/24/2025)

RR

Texas
(1/24/2025)

IAR

Texas
(1/24/2025)

RR

Virginia
(9/25/2026)

RR

Washington
(1/24/2025)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1984About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jun 1994About the Series 24 exam

FINRA

SRO Registrations

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WELLS FARGO CLEARING SERVICES, LLC

DANVILLE, CA · CRD#

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San Jose, CA · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Derek Bradley Ferriera's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Derek Bradley Ferriera's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Services Offered by Derek

Retirement Planning
Comprehensive Financial Planning
Investment Planning
Tax Planning
Employee and Employer Plan Benefits
Insurance Planning
Estate Planning
Business Succession Planning

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WELLS FARGO CLEARING SERVICES, LLC

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