David C. Walkup

OSAIC WEALTH

The Woodlands, TX 77380

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CRD#: 2258065

Professional summary

David Christopher Walkup is a registered financial advisor currently at OSAIC WEALTH, INC. located in The Woodlands, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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) HARMAN WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 04/04/2016 ADDRESS: 1725 Hughes Landing BLVD, Suite 1250, The Woodlands TX 77380, United States DESCRIPTION: Recommend insurance products that are appropriate for clients. 2) HARMAN WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/04/2016 ADDRESS: 1725 Hughes Landing BLVD, Ste. 1250, The Woodlands TX 77380, United States DESCRIPTION: Employee of advisor practice 3)HARMAN ASSET MANAGEMENT POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 12 START DATE: 01/01/2020 ADDRESS: 1725 Hughes Landing Blvd, Suite 1250, The Woodlands TX 77380, United States DESCRIPTION: Receive referrals from the solicitor and attempt to convert to a client. 4) GARY GLEN HOA POSITION: Vice President NATURE: Homeowners association. I am on the board. It's a non-paying, volunteer position. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 2 Clubview Court, The Woodlands TX 77382, United States DESCRIPTION: Enforce by-laws, make sure bills are paid, communicate with the management company we hired to help us run the HOA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Christopher Walkup's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Christopher Walkup'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: 1725 Hughes Landing Blvd. Suite 1250, The Woodlands, TX 77380

RIA

CRD#: 23131

The Woodlands, TX

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 1725 Hughes Landing Blvd. Suite 1250, The Woodlands, TX 77380

RIA

CRD#: 23131

The Woodlands, TX

Past

June 12, 2019 - April 29, 2024

HARMAN ASSET MANAGEMENT, LLC

RIA

CRD#: 300387

THE WOODLANDS, TX

Past

March 8, 2019 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

THE WOODLANDS, TX

Past

October 31, 2013 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

THE WOODLANDS, TX

Past

January 15, 2013 - November 1, 2013

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

January 11, 2013 - July 17, 2013

GREYSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 112683

HOUSTON, TX

Past

August 11, 1994 - January 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

July 27, 1994 - January 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

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

Hawaii
(9/1/2023)

Indiana
(9/1/2023)

Louisiana
(9/1/2023)

Texas
(9/1/2023)

IAR

Texas
(9/1/2023)

Washington
(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: 3/5/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/2/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/26/1994

General Securities 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.

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David C. Walkup

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Christopher Walkup's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Christopher Walkup's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

HARMAN ASSET MANAGEMENT, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

APW CAPITAL, INC.

GREYSTONE FINANCIAL GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/2019

Series 63

Date: 8/9/1994

SIE

Date: 10/1/2018

Series 31

Date: 12/2/1997

Series 7

Date: 7/26/1994

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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