Richard P. Kiesel

OSAIC WEALTH

CORAL SPRINGS, FL 33071

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CRD#: 4418699

Professional summary

Richard Patrick Kiesel, CFP®, who also goes by Rick P Kiesel, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Coral Springs, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick P Kiesel

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.

**SECURITIES AMERICA ADVISORS INVESTMENT ADVISORY - IAR - INVESTMENT RELATED - START DATE: 04/2009 - LOCATED AT 12518 W ATLANTIC BLVD, CORAL SPRINGS, FL **12518 BUILDING LLC POSITION: Owner NATURE: Investment real estate INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/06/2021 ADDRESS: 12518 W Atlantic Blvd., Coral Springs FL 33071 DESCRIPTION: I established 12518 Building LLC to purchase and own my office condo. My financial planning company Wealth Advisors, Inc. rents the office condo from 12518 Building LLC. **WEALTH ADVISORS, INC POSITION: President NATURE: S-corporation used to manage operations of the financial planning practice INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 12518 W Atlantic Blvd, Coral Springs FL 33071 DESCRIPTION: S-corporation used to manage all operations of the financial planning practice **WEALTH ADVISORS, INC. POSITION: President NATURE: WEALTH ADVISORSINC /INSURANCE SALES--President-INVESTMENT RELATED- START DATE: 01/2016 LOCATED AT 12518 W ATLANTIC BLVD; CORAL SPRINGS FL 33071 INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2016 ADDRESS: 12518 W. Atlantic Blvd., Coral Springs FL 33071 DESCRIPTION: Insurance planning, including deferred annuities for investment purposes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Patrick Kiesel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Patrick Kiesel'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: 2017

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 12518 W Atlantic Blvd, Coral Springs, FL 33071

RIA

CRD#: 23131

CORAL SPRINGS, FL

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 12518 W Atlantic Blvd, Coral Springs, FL 33071

RIA

CRD#: 23131

CORAL SPRINGS, FL

Past

April 17, 2009 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CORAL SPRINGS, FL

Past

March 26, 2009 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

CORAL SPRINGS, FL

Past

September 20, 2005 - April 3, 2009

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

CORAL SPRINGS, FL

Past

September 19, 2005 - April 3, 2009

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CORAL SPRINGS, FL

Past

July 29, 2004 - September 20, 2005

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

CORAL SPRINGS, FL

Past

September 2, 2003 - September 20, 2005

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

September 30, 2002 - June 3, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BOCA RATON, FL

Past

July 31, 2002 - June 3, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

California
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(6/14/2024)

Georgia
(6/14/2024)

Nevada
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

IAR

North Carolina
(6/14/2024)

Oregon
(6/14/2024)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Texas
(5/10/2025)

IAR

Texas
(5/10/2025)

Virginia
(6/14/2024)

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

IAR

Series 66

Date: 9/24/2002

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: 8/30/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/30/2002

General Securities 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

Richard P. Kiesel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Patrick Kiesel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Patrick Kiesel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2002

SIE

Date: 10/1/2018

Series 31

Date: 8/30/2002

Series 7

Date: 7/30/2002

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.

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