David J. Gallant

OSAIC WEALTH

Cumberland Center, ME 04021

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CRD#: 1661750

Professional summary

David Joseph Gallant is a registered financial advisor currently at OSAIC WEALTH, INC. located in Cumberland Center, Maine.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24, Series 51 and Series 26 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. DBA GALLANT ' S INSURANCE POSITION: OWNER NATURE: sole prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/25/1986 ADDRESS: 26 MEADOW LANE, CUMBERLAND CENTER ME 04021, United States DESCRIPTION: Fixed Life and Health Insurance sales and service 2. AMERICAN PORTFOLIOS ADVISORS INC. RIA. FEE BASED ADVISORY BUSINESS. UPON AFFILIATION WITH APFS. 80 HOURS DEVOTED PER MONTH. 3. NOTARY PUBLIC. START DATE 2008. LESS THAN ONE HOUR DEVOTED PER MONTH. 4. DAVID J. GALLANT POSITION: Notary NATURE: Non-compensated, never charged for services, Notary public INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/13/2013 ADDRESS: 26 Meadow Lane, Cumberland ME 04021, United States DESCRIPTION: Notarized signatures

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Gallant's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Joseph Gallant'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

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 26 Meadow Lane, Cumberland Center, ME 04021

RIA

CRD#: 23131

Cumberland Center, ME

Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 26 Meadow Lane, Cumberland Center, ME 04021

RIA

CRD#: 23131

Cumberland Center, ME

Past

September 21, 2016 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

September 15, 2016 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Cumberland Center, ME

Past

June 16, 2005 - September 15, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

CUMBERLAND CENTER, ME

Past

July 2, 2002 - June 16, 2005

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

CUMBERLAND CENTER, ME

Past

November 12, 1993 - September 15, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

CUMBERLAND CENTER, ME

Past

January 11, 1993 - November 9, 1993

BANGOR SECURITIES, INC.

CRD#: 4302

PORTLAND, ME

Past

October 5, 1987 - January 6, 1993

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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

California
(10/11/2024)

IAR

California
(10/11/2024)

Connecticut
(10/11/2024)

Florida
(10/11/2024)

Georgia
(10/11/2024)

Maine
(10/11/2024)

IAR

Maine
(10/11/2024)

Massachusetts
(10/11/2024)

Nevada
(10/11/2024)

New Hampshire
(10/11/2024)

New Jersey
(10/11/2024)

New York
(10/11/2024)

Ohio
(10/11/2024)

Oklahoma
(10/11/2024)

Oregon
(10/11/2024)

Pennsylvania
(10/11/2024)

Rhode Island
(10/11/2024)

Vermont
(10/11/2024)

Washington
(10/11/2024)

West Virginia
(10/11/2024)

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: 12/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1998

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: 1/15/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/16/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/2/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/7/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 8/18/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/31/1997

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.

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David J. Gallant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Gallant's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Joseph Gallant's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

BANGOR SECURITIES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/1999

Series 63

Date: 7/29/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2002

Series 22

Date: 3/16/1989

Series 6

Date: 10/2/1987

Series 24

Date: 8/7/2006

Series 51

Date: 8/18/2003

Series 26

Date: 10/31/1997

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.

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