Joseph D. Lipsitz

OSAIC WEALTH

AMHERST, NY 14226

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CRD#: 5013621

Professional summary

Joseph David Lipsitz, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Amherst, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 4 firms and has passed the Series 63, SIE, Series 7 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.

**L&M FINANCIAL POSITION: Insurance Agent NATURE: INSURANCE AGENT - SALES - START DATE: 09/2009 - LOCATED AT 3820 SHERIDAN DRIVE AMHERST NY 14226 United States INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2009 ADDRESS: 3820 Sheridan Dr, Amherst NY 14226 DESCRIPTION: Insurance advice including specific insurance recommendations. **3820 SHERIDAN LLC POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2017 ADDRESS: 3820 Sheridan Drive, Amherst NY 14226 DESCRIPTION: No activity - passive ownership of 3820 Sheridan Drive, from which L&M Wealth Management operates. **WILLIAMSVILLE EDUCATION FOUNDATION POSITION: Treasurer NATURE: Williamsville Education Foundation Board of Directors INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2014 ADDRESS: 105 Casey Road, East Amherst NY 14051 DESCRIPTION: The Williamsville Education Foundation is an independent, volunteer led, 501c3 non-profit that serves the students of Williamsville Central School District. We fund worthwhile programs which may not be implemented due to budgetary constraints. We inspire the youth of today and tomorrow to achieve educational excellence. The mission of the Williamsville Education Foundation, Inc. is to gather and administer private resources to enhance the educational activities of the Williamsville Central School District and help ensure that its students receive the highest quality education. **36 HIDDEN PINES POSITION: Owner/Landlord NATURE: Residential Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2022 ADDRESS: 36 Hidden Pines Court, East Amherst NY 14051, United States DESCRIPTION: Landlord **L&M TAX POSITION: Owner NATURE: Tax preparation and accounting services. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/27/2018 ADDRESS: 3820 Sheridan Dr, Amherst NY 14226, United States DESCRIPTION: I will be an owner and supervise the accountant in-charge.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph David Lipsitz'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: 2012

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 3820 Sheridan Drive, Amherst, NY 14226Office #2: 1708 Vestal Pkwy E, Vestal, NY 13850-1832Office #3: 1840 Winton Rd S, Building A, Rochester, NY 14618

RIA

CRD#: 23131

AMHERST, NY

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 3820 Sheridan Drive, Amherst, NY 14226Office #2: 1708 Vestal Pkwy E, Vestal, NY 13850-1832Office #3: 1840 Winton Rd S, Building A, Rochester, NY 14618

RIA

CRD#: 23131

AMHERST, NY

Past

January 4, 2016 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Amhurst, NY

Past

September 5, 2007 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

AMHERST, NY

Past

January 5, 2006 - September 5, 2007

LINCOLN INVESTMENT

CRD#: 519

AMHERST, 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

Alabama
(6/14/2024)

Alaska
(6/14/2024)

Arizona
(6/14/2024)

California
(6/14/2024)

Colorado
(6/14/2024)

Connecticut
(6/14/2024)

Delaware
(6/14/2024)

District of Columbia
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(6/14/2024)

Georgia
(6/14/2024)

Hawaii
(6/14/2024)

Idaho
(6/14/2024)

Illinois
(6/14/2024)

Indiana
(6/14/2024)

IAR

Indiana
(6/14/2024)

Iowa
(6/14/2024)

Kentucky
(6/14/2024)

Louisiana
(6/14/2024)

Maine
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

IAR

Massachusetts
(9/24/2024)

Michigan
(6/14/2024)

Minnesota
(6/14/2024)

Mississippi
(6/14/2024)

Missouri
(6/14/2024)

Montana
(6/14/2024)

Nebraska
(6/14/2024)

Nevada
(6/14/2024)

New Hampshire
(6/14/2024)

New Jersey
(6/14/2024)

New Mexico
(6/14/2024)

New York
(6/14/2024)

IAR

New York
(6/14/2024)

North Carolina
(6/14/2024)

IAR

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

Oklahoma
(6/14/2024)

Oregon
(6/14/2024)

Pennsylvania
(6/14/2024)

Puerto Rico
(6/14/2024)

Rhode Island
(6/14/2024)

South Carolina
(6/14/2024)

South Dakota
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

Utah
(6/14/2024)

Vermont
(6/14/2024)

Virginia
(6/14/2024)

Washington
(6/14/2024)

West Virginia
(6/14/2024)

Wisconsin
(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

Series 63

Date: 3/17/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2007

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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Joseph D. Lipsitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LINCOLN INVESTMENT

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2006

Series 24

Date: 7/31/2007

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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