Noel D. Bennett

OSAIC WEALTH

Tulsa, OK 74133

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CRD#: 1751557

Professional summary

Noel David Bennett is a registered financial advisor currently at OSAIC WEALTH, INC. located in Tulsa, Oklahoma.

Noel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Noel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6 and Series 24 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) 520 ASSOCIATES LLC POSITION: Registered Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/04/2015 ADDRESS: 6660 S. Sheridan Rd., Suite 260, Tulsa OK 74133, United States DESCRIPTION: Registered Representative 2) JOHN N. BENNETT FAMILY TRUST POSITION: Trustee NATURE: Non-business family trust. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2000 ADDRESS: 14711 N. 144th E. Ave., Collinsville OK 74021, United States DESCRIPTION: Manage trust properties, make deposits, pay bills, pay property taxes, file tax returns. 3) PAULINE BENNETT TRUST POSITION: Trustee NATURE: Non-business family trust. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2006 ADDRESS: 14711 N. 144th E. Ave., Collinsville OK 74021, United States DESCRIPTION: Manage trust properties, make deposits, pay bills, pay property taxes, file tax returns. 4) BENNETT FINANCIAL SERVICES POSITION: Owner, Agent. NATURE: Insurance Agency. INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 07/01/2008 ADDRESS: 6660 S. Sheridan Rd., Suite 260, Tulsa OK 74133, United States DESCRIPTION: Sell and service life insurance, health insurance, medicare supplement insurance and various ancillary fixed insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noel David Bennett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Noel David Bennett'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

April 25, 2016 - Present

OSAIC WEALTH, INC.

Office #1: 6660 S Sheridan Rd Suite 260, Tulsa, OK 74133

RIA

CRD#: 23131

Tulsa, OK

Current

November 4, 2015 - Present

OSAIC WEALTH, INC.

Office #1: 6660 S Sheridan Rd Suite 260, Tulsa, OK 74133

RIA

CRD#: 23131

Tulsa, OK

Past

October 28, 2004 - August 18, 2016

FIRST INDEPENDENT ADVISORY SERVICES, INC.

RIA

CRD#: 132678

TULSA, OK

Past

February 11, 2004 - December 7, 2015

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CRD#: 128904

TULSA, OK

Past

September 15, 1997 - December 31, 2003

CETERA ADVISORS LLC

RIA

CRD#: 10299

TULSA, OK

Past

January 3, 1997 - March 29, 2004

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

November 20, 1996 - January 7, 1997

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

June 1, 1990 - December 3, 1996

PATTERSON ICENOGLE, INC.

CRD#: 15652

Past

October 12, 1987 - June 22, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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
(3/30/2017)

Arkansas
(11/4/2015)

California
(2/10/2017)

Colorado
(12/15/2015)

District of Columbia
(1/25/2022)

Florida
(12/8/2015)

Georgia
(1/7/2016)

Illinois
(1/7/2016)

Indiana
(1/21/2016)

Iowa
(2/24/2017)

Kansas
(1/22/2016)

Louisiana
(1/25/2017)

Maryland
(1/21/2016)

Michigan
(12/9/2015)

Minnesota
(12/3/2015)

Missouri
(12/15/2015)

Nebraska
(1/12/2016)

Nevada
(1/25/2017)

New Jersey
(1/7/2016)

New Mexico
(1/20/2017)

New York
(1/21/2016)

Ohio
(2/1/2016)

Oklahoma
(11/4/2015)

IAR

Oklahoma
(4/25/2016)

Oregon
(2/3/2017)

Pennsylvania
(1/4/2016)

South Dakota
(2/5/2016)

Tennessee
(1/21/2016)

Texas
(11/4/2015)

IAR

Texas
(6/14/2023)

Virginia
(1/22/2016)

Wisconsin
(1/22/2016)

Wyoming
(2/15/2017)

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: 6/16/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1987

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: 7/6/2007

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 7/1/1993

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/2000

General Securities 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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Firm Stability Insights

Noel D. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noel David Bennett's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Noel David Bennett's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FIRST INDEPENDENT ADVISORY SERVICES, INC.

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MOMENTUM INDEPENDENT NETWORK INC.

PATTERSON ICENOGLE, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/1997

Series 63

Date: 10/9/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/6/2007

Series 62

Date: 7/1/1993

Series 6

Date: 10/9/1987

Series 24

Date: 7/20/2000

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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