Dirk Alexander

WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

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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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

Years of Experience

30 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 902 Carnegie Center Suite 510, Princeton, NJ 085402. Manalapan, NJ

November 16, 2015 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

902 Carnegie Center Suite 510, Princeton, NJ 08540

June 1, 2006 - Present

Past

NEW CENTURY FINANCIAL GROUP, LLCPast·CRD# 104553

RIA

Princeton, NJ

June 15, 2006 - December 31, 2025

USALLIANZ SECURITIES, INC.Past·CRD# 40875

RIA

Freehold, NJ

November 4, 2004 - June 2, 2006

USALLIANZ SECURITIES, INC.Past·CRD# 40875

BD

Minneapolis, MN

November 2, 2004 - June 2, 2006

EASTERN POINT ADVISORS INC.Past·CRD# 107123

RIA

Freehold, NJ

June 13, 2003 - November 1, 2004

INVESTORS CAPITAL CORP.Past·CRD# 30613

BD

Lynnfield, MA

June 9, 2003 - November 1, 2004

LOCUST STREET SECURITIES, INC.Past·CRD# 1703

RIA

Freehold, NJ

July 31, 2002 - June 6, 2003

LOCUST STREET SECURITIES, INC.Past·CRD# 1703

BD

Des Moines, IA

June 3, 1999 - June 6, 2003

FFP SECURITIES, INC.Past·CRD# 16337

BD

Chesterfield, MO

January 4, 1999 - June 3, 1999

AMERICAN GENERAL SECURITIES INCORPORATEDPast·CRD# 13626

BD

Phoenix, AZ

October 1, 1997 - January 4, 1999

USLIFE EQUITY SALES CORP.Past·CRD# 7962

BD

New York, NY

August 13, 1996 - October 1, 1997

C. J. M. PLANNING CORP.Past·CRD# 5698

BD

Pompton Lakes, NJ

June 27, 1996 - October 22, 1996

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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

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

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (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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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

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) Osaic Wealth, Inc., INVESTMENT RELATED, 1 AIRPORT PLACE, SUITE 3, PRINCETON, NJ 08540; INVESTMENT ADVISOR REPRESENTATIVE; STARTED 12/20115; 40 HRS/MTH, 30HRS/MTH DURING ST HOURS; ATTRACT AND RETAIN CLIENTS; RESEARCH INVESTMENT PRODUCTS, BUILD AND MANAGE 401K INVESTMENT MENU, PLAN DESIGN AND EMPLOYEE/EMPLOYER RETIREMENT PLAN EDUCATION AND ENROLLMENT; MAKE FINANCIAL RECOMMENDATIONS. 2) DIRK ALEXANDER - MUSICAL PERFORMANCE POSITION: Other - self NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2014 ADDRESS: PO Box 430, Tennent NJ 07763, United States DESCRIPTION: Musician - session musician for recordings and live music. 3) MOLLYJACK PUBLISHING, LLC POSITION: Managing Member NATURE: LLC - Music publishing and the collection of royalties from copywritten music INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/10/2017 ADDRESS: PO Box 430, Tennent NJ 07763, United States DESCRIPTION: outsource administration to a Publishing Administrator 4) H.I.B. PLANNING & BENEFITS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 05/01/1992 ADDRESS: 902 Carnegie Center, Suite 510, Princeton NJ 08540, United States DESCRIPTION: Service & sell employee benefits, fixed annuities, life, health, disability income and long term care insurance. 5) NEW CENTURY FINANCIAL GROUP POSITION: Advisor NATURE: Marketing name (DBA) used for Investment work INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2026 ADDRESS: 902 Carnegie Center, Suite 510, Princeton NJ 08540, United States DESCRIPTION: manage client accounts dealing with back-office issues

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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

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

Connecticut
(2/23/2007)

RR

Florida
(6/1/2006)

RR

Georgia
(12/11/2020)

RR

Maryland
(6/1/2006)

RR

New Jersey
(6/1/2006)

IAR

New Jersey
(11/16/2015)

RR

New York
(6/1/2006)

RR

Pennsylvania
(6/1/2006)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1996About the Series 6 exam

FINRA

SRO Registrations

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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Dirk Alexander's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dirk Alexander's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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WELLS FARGO CLEARING SERVICES, LLC

EAST BRUNSWICK, NJ · CRD#