Lavon Aaron Williams

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Disclosures on record.

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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Years of Experience

33 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 210 Peters Street Suite A, Poteau, OK 749532. 1400 Preston Road Suite 400, Plano, TX 75093

September 1, 2023 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 210 Peters Street Suite A, Poteau, OK 749532. 1400 Preston Road Suite 400, Plano, TX 75093

September 1, 2023 - Present

Past

OSAIC SERVICES, INC.Past·CRD# 133763

RIA

Poteau, OK

October 10, 2012 - September 1, 2023

OSAIC SERVICES, INC.Past·CRD# 133763

BD

Poteau, OK

October 31, 2005 - September 1, 2023

ASSET & INVESTMENT ADVISORS, INC.Past·CRD# 115776

RIA

Poteau, OK

May 18, 2001 - December 31, 2012

SUNAMERICA SECURITIES, INC.Past·CRD# 20068

BD

Phoenix, AZ

March 11, 1997 - October 31, 2005

GEARY SECURITIES, INC.Past·CRD# 38182

BD

Oklahoma City, OK

June 1, 1995 - March 11, 1997

STIFEL, NICOLAUS & COMPANY, INCORPORATEDPast·CRD# 793

BD

St. Louis, MO

April 13, 1993 - June 1, 1995

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Current Firm

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US 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 (11/6/2026)

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
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
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. MAPLE CREEK VENTURES LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2009 ADDRESS: 210 Peters St Ste A Poteau OK 74953 DESCRIPTION: Collect rent, pay bills, maintain the facility, and clean 2. MAPLE CREEK BERRY FARM 2402 REDWOOD LANE,OWNER,11/22/2003,BLUEBERRY AND BLACKBERRY FARM. U-PICK,80,0. 3. INSURANCE SALES, YES, ADDRESS: 210 Peters St Ste A Poteau OK 74953 OWNER, 3/1997,FIXED INSURANCE SALES ANNUITIES FIXED LIFE INSURANCE, 10,10. 4. ASSET & INVESTMENT ADVISORS, INC, YES, 210 PETERS STREET, STE A, CORPORATE RIA, JAN-2013, 80HRS/MONTH, 80HRS DT, INVESTMENT ADVISE FOR FEE, RISK ASSESSMENT, PORTFOLIO CONSTRUCTION, PROGRESS REVIEW WITH CLIENT. 5. OWENS AGENCY LLC POSITION: Partner 50% NATURE: Insurance Agency, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/30/2015 ADDRESS: 1197 2nd St, Waldron AR 72958 DESCRIPTION: Solicit insurance for property, casualty and commercial. 6. ASSET & CAPITAL ADVISORS POSITION: President NATURE: Operating business for Asset & Investment Advisors.Not held out to clients or prospects. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/01/1997 ADDRESS: 210 Peters St Ste A Poteau OK 74953 DESCRIPTION: Pay employees, pay bills, deposit income. 7. LEFLORE COUNTY DE VELOPMENT AUTHORITY POSITION: Non-Profit/Board of Directors NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 4/2000 ADDRESS: 201 S Broadway, Poteau, OK 74953 DESCRIPTION: Review business prospects seeking economic assistance in relocating or expanding existing operations in the county. 8. CARL ALBERT STATE COLLEGE BOARD OF REGENTS POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2011 ADDRESS: 1507 S McKenna Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Oversee administration, Employment of Adminstration and staff. monitor finances, exapansion plans, adcedeminc programs, develop policies. 9. ASSET & INVESTMENT ADVISORS, INC POSITION: Owner - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/1993 ADDRESS: 210 Peters St. Ste A, Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Provide fixed annuites or life insurance or term insurance to clients. Assess needs, determine adequacy, submit applications and deliver policy. 10. LEFLORE COUNTY DEVELPEMENT AUTHORITY POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1993 ADDRESS: 201 S Broadway Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Review business prospects seeking economic assitance in relocating or expanding existing operations in the county. 11. ASSET & INVESTMENT ADVISORS POSITION: Owner NATURE: Sole Proprietorship dba INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/15/2008 ADDRESS: 210 Peters St. Ste A, Poteau OK 74953, United States DESCRIPTION: Notarized forms for client transfers, mostly on death of client or transfer of shares to others 12. MAPLE CREEK BERRY FARM POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2004 ADDRESS: 34234 Pleasant Valley Road Poteau, OK 74953, Poteau OK 74953, United States DESCRIPTION: Manage operations, fertilization, irrigation, weed and pest control, cultural practices, harvest and sale of berries.

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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".

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(9/1/2023)

RR

Arkansas
(9/1/2023)

IAR

Arkansas
(9/1/2023)

RR

California
(9/1/2023)

IAR

California
(9/1/2023)

RR

Colorado
(9/1/2023)

RR

District of Columbia
(9/1/2023)

RR

Florida
(9/1/2023)

RR

Georgia
(9/1/2023)

RR

Illinois
(9/1/2023)

RR

Kansas
(9/1/2023)

RR

Louisiana
(9/1/2023)

RR

Maryland
(9/1/2023)

RR

Massachusetts
(9/1/2023)

RR

Michigan
(9/1/2023)

RR

Minnesota
(9/1/2023)

RR

Mississippi
(9/1/2023)

RR

Missouri
(9/1/2023)

RR

Nevada
(9/1/2023)

RR

New Mexico
(9/1/2023)

RR

Ohio
(9/1/2023)

RR

Oklahoma
(9/1/2023)

IAR

Oklahoma
(9/1/2023)

RR

Oregon
(9/1/2023)

RR

Pennsylvania
(9/1/2023)

RR

Tennessee
(9/1/2023)

RR

Texas
(9/1/2023)

IAR

Texas
(9/1/2023)

RR

Utah
(9/1/2023)

RR

Virginia
(9/1/2023)

IAR

Virginia
(9/1/2023)

RR

Washington
(9/1/2023)

IAR

Washington
(9/1/2023)

RR

Wisconsin
(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.