David Fontaine

OSAIC WEALTH

Miami, FL 33143

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CRD#: 4164182

Professional summary

David Fontaine, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Miami, Florida.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 51 and Series 24 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. FONTAINE ENTERPRISES, LLC POSITION: Managing Member NATURE: LLC that I use to run my practice, pay my expenses and run payroll. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/01/2003 ADDRESS: 5730 SW 74 Street, Suite 800, South Miami FL 33143, United States DESCRIPTION: payroll, taxes, office expenses 2. FONTAINE RETIREMENT GROUP, AN INDEPENDENT FIRM POSITION: Insurance Agent NATURE: Insurance Agent INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/19/2016 ADDRESS: 5730 SW 74th Street, Suite 800, South Miami FL 33143-5376, United States DESCRIPTION: Insurance Agent for Fixed Annuities, Fixed Indexed Annuities, Fixed Life, Health, medicare supplement and advantage plans 3. DAVID FONTAINE - LIFE INSURANCE TRUST POSITION: Trustee NATURE: The trustee of my own Life Insurance Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/28/2023 ADDRESS: 11322 SW 104 Avenue, Miami FL 33176, United States DESCRIPTION: Trustee of my own Life Insurance Trust 4. NOTARY POSITION: Notary NATURE: I have a notary stamp and notarize basic documents as a convenience for clients. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/14/2023 ADDRESS: 5730 SW 74 Street, Suite 800, South Miami FL 33143, United States DESCRIPTION: Notarizing basic documents for clients 4. DAVID FONTAINE REVOCABLE LIVING TRUST POSITION: Trustee NATURE: Revocable Living Trust INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/09/2023 ADDRESS: 11322 SW 104 Avenue, Miami, FL 33176 DESCRIPTION: Trustee of my own Revocable Living Trust

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Fontaine'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: 2007

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 5730 Sw 74th St. Suite 800, Miami, FL 33143

RIA

CRD#: 23131

Miami, FL

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 5730 Sw 74th St. Suite 800, Miami, FL 33143

RIA

CRD#: 23131

Miami, FL

Past

October 19, 2015 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MIAMI, FL

Past

October 19, 2015 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

MIAMI, FL

Past

August 3, 2009 - November 3, 2015

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MIAMI, FL

Past

October 14, 2002 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

MIAMI, FL

Past

May 10, 2002 - November 3, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MIAMI, FL

Past

April 20, 2000 - April 17, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 20, 2000 - April 17, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(9/1/2023)

IAR

Alabama
(9/1/2023)

California
(9/1/2023)

Colorado
(9/1/2023)

IAR

Colorado
(9/1/2023)

Connecticut
(9/1/2023)

IAR

Connecticut
(9/1/2023)

Florida
(9/1/2023)

IAR

Florida
(9/1/2023)

Georgia
(9/1/2023)

IAR

Georgia
(9/1/2023)

Illinois
(9/1/2023)

IAR

Illinois
(9/1/2023)

Mississippi
(9/1/2023)

IAR

Mississippi
(9/1/2023)

New York
(9/1/2023)

North Carolina
(9/1/2023)

IAR

North Carolina
(9/1/2023)

Ohio
(1/14/2025)

South Carolina
(9/1/2023)

IAR

South Carolina
(9/1/2023)

Tennessee
(12/21/2023)

Texas
(9/1/2023)

IAR

Texas
(9/1/2023)

Utah
(9/1/2023)

IAR

Utah
(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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/6/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/5/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/2/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/2004

General Securities Principal 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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David Fontaine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2000

SIE

Date: 10/1/2018

Series 31

Date: 3/5/2007

Series 7

Date: 4/19/2000

Series 51

Date: 6/2/2004

Series 24

Date: 2/9/2004

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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