David A. Knierim

OSAIC WEALTH

DAVIE, FL 33330

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CRD#: 2821017

Professional summary

David Andrew Knierim, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Davie, Florida.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 8 firms and has passed the Series 63, SIE and Series 6 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. D/B/A PRINCETON FINANCIAL POSITION: Advisor NATURE: Securities Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2006 ADDRESS: 12555 Orange Dr. #103, Davie FL 33330, United States DESCRIPTION: Securities offered through my broker dealer Securities America and Security America Advisors 2. N/A POSITION: salesman/advisor NATURE: insurance sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2006 ADDRESS: 12555 Orange Drive #103, Davie FL 33330, United States DESCRIPTION: Sales of insurance products 3. JTS INVESTMENT STRATEGIES, INC. POSITION: President NATURE: Used as a conduit for my securities business. Established checking account to pay bills and taxes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2006 ADDRESS: 12555 Orange Drive #103, Davie FL 33330, United States DESCRIPTION: Used as a conduit for my securities business. Pays the taxes and the bills of the company. 4. ADVISORY BUSINESS POSITION: Investment Advisor Representative NATURE: Advisory Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 20 START DATE: 01/30/2001 ADDRESS: 12555 Orange Drive, #103, Davie FL 33330, United States DESCRIPTION: Provide fee based advisory services to my clients 5. DBA - Princeton Financial

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Knierim's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Andrew Knierim'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 12555 Orange Drive Suite # 103, Davie, FL 33330

RIA

CRD#: 23131

DAVIE, FL

Current

July 12, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 12555 Orange Drive Suite # 103, Davie, FL 33330

RIA

CRD#: 23131

DAVIE, FL

Past

July 17, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DAVIE, FL

Past

July 17, 2020 - June 15, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

DAVIE, FL

Past

March 8, 2006 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

DAVIE, FL

Past

March 6, 2006 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

DAVIE, FL

Past

June 7, 2000 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

March 3, 1999 - April 3, 2006

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

MIAMI, FL

Past

March 2, 1999 - April 3, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

December 16, 1996 - March 8, 2000

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

CRD#: 7315

PALM BEACH GARDENS, FL

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

IAR

Florida
(6/14/2024)

Florida
(7/15/2024)

Georgia
(10/1/2024)

North Carolina
(7/18/2024)

South Carolina
(7/16/2024)

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

Series 63

Date: 5/4/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/13/1996

Investment Company Products/Variable Contracts 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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Firm Stability Insights

David A. Knierim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Knierim's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Andrew Knierim's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/2006

SIE

Date: 10/1/2018

Series 6

Date: 12/13/1996

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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