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Adriel John Gaines

Osaic Advisory Services, LLC
27 Years of Experience
7 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEducation PlanningEstate PlanningFinancial Planning & Coaching
Osaic Advisory Services, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
342 advisors
Number of Clients
28,410 clients
Average Client Portfolio
$439K average
Assets Under Management
$12.5B

Fee Structure

Minimum Investment:None

Location

655 A Street, Suite D, Springfield, OR, 97478

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
October 2010
Final
Customer Dispute
March 2009
Denied
Customer Dispute
January 2009
Settled
Customer Dispute
January 2009
Settled
Customer Dispute
September 2004
Settled
Customer Dispute
May 2002
Denied
Customer Dispute
February 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Adriel owns Gaines Financial, a DBA for fixed insurance and securities business, and is a member/owner of Gaines A Street Property LLC, which owns a commercial building. Adriel also works full-time as a Wealth Manager/IAR for Arbor Point Advisors.

Employment History
Current Registrations
Osaic Advisory Services, LLC
November 2024 - Present · 1 yr 3 mos
Osaic Wealth, INC.Broker
June 2024 - Present · 1 yr 8 mos
Previous Registrations
Arbor Point Advisors
November 2020 - November 2024 · 4 yrs
Securities America, INC.Broker
November 2020 - June 2024 · 3 yrs 7 mos
Kms Financial Services, INC.Broker
August 2019 - November 2020 · 1 yr 3 mos
Kms Financial Services, INC
July 2019 - November 2020 · 1 yr 4 mos
Cetera Advisors LLC
February 2012 - May 2022 · 10 yrs 3 mos
Cetera Advisors LLCBroker
February 2012 - August 2019 · 7 yrs 6 mos
Pacific West Securities, INC.Broker
November 2010 - February 2012 · 1 yr 3 mos
Pacific West Financial Consultants INC
October 2010 - February 2012 · 1 yr 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2009 · 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2009 · 6 mos
Morgan Stanley & CO. IncorporatedBroker
December 2008 - June 2009 · 6 mos
Morgan Stanley & CO. Incorporated
December 2008 - June 2009 · 6 mos
Strand, Atkinson, Williams & York INC.
July 2007 - December 2008 · 1 yr 5 mos
Strand, Atkinson, Williams & York, INC.Broker
April 2004 - December 2008 · 4 yrs 8 mos
Wm Financial Services, INC.Broker
June 2000 - April 2004 · 3 yrs 10 mos
Pruco Securities CorporationBroker
September 1997 - June 2000 · 2 yrs 9 mos
State Registrations13 states
AZCACTFLHIIDMAMDMTNVORTXWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.