David D. Hollands
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Daniel Hollands, CFP® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1998
Experience
November 2, 2018 - June 3, 2022
OSAIC WEALTH, INC.
November 2, 2018 - June 3, 2022
OSAIC WEALTH, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
January 8, 2001 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 8, 2001 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 3, 1999 - January 19, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 3, 1999 - January 19, 2001
OSAIC FA, INC.
February 23, 1998 - June 3, 1999
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 31, 1996 - March 23, 1998
BANK UNITED SECURITIES CORP.
June 14, 1995 - July 30, 1996
BA INVESTMENT SERVICES, INC.
February 1, 1994 - June 27, 1995
FIDELITY BROKERAGE SERVICES LLC
August 31, 1992 - October 19, 1993
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
