Dwight Lamont Ferguson

HIGHTOWER ADVISORS, LLC

Arlington, VA · CRD#

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#

MORGAN STANLEY

Washington, DC · 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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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

27 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 9701 Apollo Dr Ste 243, Largo, MD 207742. Owings Mills, MD

January 19, 2024 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

9701 Apollo Dr Ste 243, Largo, MD 20774

January 19, 2024 - Present

Past

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

RIA

Largo, MD

March 1, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

BD

Largo, MD

March 1, 2019 - January 19, 2024

QUESTAR ASSET MANAGEMENT, INC.Past·CRD# 133358

RIA

Largo, MD

May 12, 2011 - March 1, 2019

QUESTAR CAPITAL CORPORATIONPast·CRD# 43100

BD

Largo, MD

May 12, 2011 - March 1, 2019

OSAIC FS, INC.Past·CRD# 3870

RIA

Owings Mills, MD

March 2, 2006 - May 18, 2011

OSAIC FS, INC.Past·CRD# 3870

BD

Owings Mills, MD

February 25, 2004 - May 18, 2011

PRUCO SECURITIES, LLC.Past·CRD# 5685

BD

Newark, NJ

June 20, 2003 - January 15, 2004

INDEPENDENT ADVISERS GROUP CORPPast·CRD# 106684

RIA

Timonium, MD

January 30, 2001 - June 26, 2003

OSAIC FS, INC.Past·CRD# 3870

RIA

Owing Mills, MD

October 30, 2002 - June 9, 2003

OSAIC FS, INC.Past·CRD# 3870

BD

Fort Wayne, IN

February 24, 2000 - June 9, 2003

PFS INVESTMENTS INC.Past·CRD# 10111

BD

Duluth, GA

June 11, 1999 - February 28, 2000

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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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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. FERGUSON FINANCIAL GROUP. POSITION: Facilitator. NATURE: Mortgage Lending (including Reverse Mortgages). INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 10/25/2011 ADDRESS: 9701 Apollo Drive, Suite 243, Largo MD 20774, United States DESCRIPTION: Refer clients. 2. FERGUSON FINANCIAL GROUP POSITION: OWNER PRESIDENT NATURE: S CORPORATION- INSURANCE AGENCY INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: 08/06/2018 ADDRESS: 9701 APOLLO DRIVE, STE. 243, LARGO MD 20774, United States DESCRIPTION: I will be making recommendations and suggestions on how to reduce the taxes a business owner is paying based on strategies and recommendations made by the software. I will not be preparing any taxes. The client will then take the report showing the recommendations to their tax preparer to implement. I will gather the business owners information and in put the information in to the Tax Planning Software by taxcoachsoftware.com . Based upon the data input the software will make recommendations on how to save on taxes. I will not be preparing any taxes. The client will then take the report showing the recommendations to their tax preparer to implement. If a recommendation is made to setup an IRA,401k etc. or purchase or restructure his life insurance the client can use me or go to another advisor. It all centers around how to save taxes that their tax preparer is not explaining to the client. 3. FERGUSON FINANCIAL GROUP POSITION: OWNER/PRESIDENT NATURE: S CORPORATION -INSURANCE AGENCY INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2000 ADDRESS: 9701 APOLLO DRIVE, STE. 243, LARGO MD 20774, United States DESCRIPTION: REFERRING PROPERTY AND CASUALTY BUSINESSTO AN INSURANCE AGENT 4. FERGUSON FINANCIAL GROUP POSITION: Facilitator, Advisor Team Leader NATURE: S - CORPORATION INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 02/03/2020 ADDRESS: 9701 APOLLO DRIVE STE. 243, LARGO MD 20774, United States DESCRIPTION: Developing strategies to help business owners exit their business. I will be the facilitator and putting together a team of exit planning specialists to help business owners prepare a detailed business valuation compensation planning income tax planning management development corporate structuring estate and gift tax planning designing and implementing shareholders agreements improve business performance 5. FERGUSON FINANCIAL GROUP POSITION: OWNER /PRESIDENT NATURE: S CORPORATION AND INSURANCE AGENCY Selling of life, health, disability,long term care insurance&fixed annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 01/01/2000 ADDRESS: 9701 APOLLO DRIVE, STE. 243, LARGO MD 21075, United States DESCRIPTION: Selling of life, health, disability, & long term care insurance &fixed annuities

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