David L. Bailin

OSAIC WEALTH

Hamilton, NJ 08690

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CRD#: 1835995

Professional summary

David Lawrence Bailin, AIF® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Hamilton, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) PERSONAL WEALTH STRATEGIES HAMILTON, NJ OWNER/ADVISER INSURANCE SALES ACTIVITIES ARE CONDUCTED UNDER THIS TRADE NAME FOR FIXED BUSINESS. START DATE: 2007 80 HOURS/MONTH NON SECURITIES RELATED 2) DAVID BAILIN HAMILTON, NJ SERVICING OF EXISTING INDEXED ANNUITIES. START DATE: 2009 0 HOURS/MONTH NON SECURITIES RELATED. 3) PERSONAL WEALTH STRATEGIES DOING BUSINESS AS NAME FOR NON SECURITIES AND SECURITIES RELATED BUSINESS 4)PWS REALTY HOLDINGS LLC POSITION: MEMBER NATURE: LLC--THE BUSINESS WILL ACT AS OWNER AND LANDLORD OF THE OFFICE WHERE MY REGISTERED ACTIVITIES WILL TAKE PLACE. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 12/16/2013 ADDRESS: 2277 ROUTE 33, SUITE 415, HAMILTON NJ 08690 DESCRIPTION: LANDLORD FOR PROPERTY 4) PERSONAL WEALTH STRATEGIES LLC POSITION: Managing Member NATURE: The structure is a LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/08/2020 ADDRESS: 2277 Route 33, Suite 415, Hamilton NJ 08690, United States DESCRIPTION: Executive functions. Management of Fixed Investment and Insurance Sales Office. Producer

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Bailin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Lawrence Bailin'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2277 Route 33 Ste 415, Hamilton, NJ 08690

RIA

CRD#: 23131

Hamilton, NJ

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2277 Route 33 Ste 415, Hamilton, NJ 08690

RIA

CRD#: 23131

Hamilton, NJ

Past

February 1, 2013 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

HAMILTON, NJ

Past

February 1, 2013 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HAMILTON, NJ

Past

June 21, 2002 - February 6, 2013

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

HAMILTON SQUARE, NJ

Past

October 10, 1996 - February 6, 2013

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

HAMILTON SQUARE, NJ

Past

April 17, 1996 - September 25, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

May 27, 1988 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

May 27, 1988 - March 21, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, 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

Alabama
(1/19/2024)

Arizona
(1/19/2024)

Arkansas
(5/19/2025)

California
(1/19/2024)

Colorado
(1/19/2024)

Connecticut
(1/19/2024)

Delaware
(1/19/2024)

Florida
(1/19/2024)

IAR

Florida
(1/19/2024)

Georgia
(1/19/2024)

Idaho
(6/17/2025)

Indiana
(1/19/2024)

Louisiana
(11/13/2025)

Maryland
(1/19/2024)

Massachusetts
(1/19/2024)

IAR

Massachusetts
(5/22/2024)

Minnesota
(1/19/2024)

Nevada
(1/19/2024)

New Jersey
(1/19/2024)

IAR

New Jersey
(1/19/2024)

New York
(1/19/2024)

North Carolina
(1/19/2024)

IAR

North Carolina
(1/19/2024)

Ohio
(1/19/2024)

Pennsylvania
(1/19/2024)

South Carolina
(1/19/2024)

Tennessee
(1/19/2024)

Texas
(1/19/2024)

Vermont
(1/19/2024)

Virginia
(1/19/2024)

Washington
(1/19/2024)

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: 7/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1988

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: 7/2/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/16/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/26/1997

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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Advisor Monitoring

Firm Stability Insights

David L. Bailin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Bailin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Lawrence Bailin's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/1997

Series 63

Date: 7/15/1988

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2001

Series 6

Date: 5/16/1988

Series 26

Date: 2/26/1997

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.

TRUST BUT VERIFY

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