Dale Harvey Nelson

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2007 → Present
  Real Estate
  Lincoln City, OR
• 12/1990 → Present
  Nelson Financial & Estate Planning
  Woodburn, OR
• 09/2010 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Woodburn, OR
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Woodburn, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Woodburn, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Woodburn, OR

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Woodburn, OR
• 2010-09-20 → 2020-11-06
  Kms Financial Services, Inc.
  Woodburn, OR
  Seattle, WA
  Seattle, WA
• 2010-08-13 → 2010-09-22
  Raymond James Financial Services Advisors, Inc
  Woodburn, OR

Other Businesses

1) WOODBURN FIRE DISTRICT POSITION: firefighter NATURE: Volunteer Firefighter INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1980 ADDRESS: Woodburn OR 97071 DESCRIPTION: Volunteer Firefighter 2) NELSON FINANCIAL & ESTATE PLANNING, INC POSITION: Officer NATURE: Nelson Financial & Estate Planning, Inc INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1985 ADDRESS: Woodburn OR 97071 DESCRIPTION: this is my business name I used before I sold my tax business. i report all my income under this name 3) SELLING FIXED ANNUITIES POSITION: Financial Advisor NATURE: Selling Fixed Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 10/19/2023 ADDRESS: Woodburn OR 97071 DESCRIPTION: Selling Fixed Annuities 4) NELSON RENTAL - COMMERCIAL AND VACATION POSITION: Owner NATURE: Rental Property - Commercial and Vacation INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: Woodburn OR 97071 DESCRIPTION: Rental of Commercial Property in Woodburn and also a Vacation Rental houses Lincoln City Oregon 5) CABIN RENTAL POSITION: rental house owner NATURE: Cabin Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: Lincoln City OR 97367 DESCRIPTION: This is a rental house I own jointly with another person that is also my investment client 6) NOTARY PUBLIC POSITION: Owner NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2026 ADDRESS: 354 N Pacific Hwy, Woodburn OR 97071 DESCRIPTION: I am a Notary Public. Do not charge for this, I do maybe 2 or 3 a year 7) SELLING FIXED ANNUITIES POSITION: Financial Advisor NATURE: Selling Fixed Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 10/19/2023 ADDRESS: PO Box 225, woodburn OR 97071 DESCRIPTION: Selling Fixed Annuities 8) WOODBURN FIRE DISTRICT POSITION: firefighter NATURE: Volunteer Firefighter INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1980 ADDRESS: 1776 Newberg Hwy, Woodburn OR 97071 DESCRIPTION: Volunteer Firefighter 9) SELLING CHICKEN EGGS ON HOBBY FARM POSITION: owner NATURE: sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2026 ADDRESS: 7399 Highway 219 NE, Woodburn OR 97071, United States DESCRIPTION: raising chickens for eggs for friends and family and neighbors. 10) NELSON FINANCIAL & ESTATE PLANNING, INC POSITION: Officer NATURE: Nelson Financial & Estate Planning, Inc S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1985 ADDRESS: 354 N Pacific Hwy, Woodburn OR 97071, United States DESCRIPTION: This is my business name I use to report all my income under this name for my securities, tax prep, accounting work. The main income is from the securities business through OSAIC so the amount is over $50,000 which would be commissions and IA income (Investment Advisory) 11) ENROLLED AGENT, LICENSED TAX CONSULTANT, ACCOUNTING POSITION: Owner NATURE: This activity will be reported under my S Corporation Nelson Financial & Estate Planning, Inc INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2026 ADDRESS: 7399 Highway 219 NE, Woodburn OR 97071, United States DESCRIPTION: I am a Enrolled Agent #38827-EA, State of Oregon Licensed Tax Consultant #2153 I do Tax Preparation, Tax Planning, Accounting/Bookkeeping related activities 12) TRUST RELATED SERVICES POSITION: Owner NATURE: S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/28/2026 ADDRESS: 354 N Pacific Hwy, Woodburn OR 97071, United States DESCRIPTION: I have an attorney that I refer my clients to for will and trust work. I do not receive any referral fees from him.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-07-02
• S63 Uniform Securities Agent State Law Examination
  1988-01-15