Homer Littlefield Davis

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

• 02/1995 → 12/2016
  Foothill Securities, Inc.
  Santa Clara, CA
• 08/1999 → Present
  Non-Public Arbitrator For Finra Dispute Resolutio
  Los Angeles, CA
• 03/1993 → Present
  Insurance Sales
  Santa Clara, CA
• 12/2016 → Present
  Securities America, Inc.
  Santa Clara, CA
• 12/2016 → Present
  Securities America Advisors
  Santa Clara, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Santa Clara, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Santa Clara, CA

Previous Registrations

• 2016-12-09 → 2024-06-14
  Securities America Advisors, Inc.
  Santa Clara, CA
  Los Altos, CA
  San Jose, CA
• 1997-12-19 → 2016-12-14
  Foothill Securities, Inc.
  Los Gatos, CA
  San Jose, CA
  Santa Clara, CA
  Santa Clara, CA
  Santa Clara, CA

Other Businesses

1. Tract No. 9843 Owners' Association Position: HOA Treasurer - Nature: Home Owners Association (HOA) Treasurer - Start Date: 11/01/2015 - Investment Related: No - Hours: 3 - Securities Trading Hours: 0 - Address: 801 Lippert Pl. Santa Clara, CA 95050 2. FINRA Arbitrator Position: Arbitrator - Nature: FINRA Arbitrator - Start Date: 01/01/2001 - Investment Related: No - Hours: 2 - Securities Trading Hours: 2 - Address: 300 Sourth Grand Ave. Suite 1700 Los Angeles, CA 90071 3. DBA: Homer L. Davis III 4. HOMER DAVIS-POSITION: Insurance Agent NATURE: Insurance sales. I maintain an active CA Insurance License (0B00710) and periodically, perhaps once every 2 or 3 years, will sell an insurance product. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1993 ADDRESS: 821 Lippert Pl., Santa Clara CA 95050, United States DESCRIPTION: I very selectively offer and sell an insurance product. Over the past 20 years, I have sold approximately 2 term policies, 1 long-term care policy and 8 variable annuity policies to include one guaranteed income policy. I continually service approximately 15 variable annuities, some of which were transferred in from new clients. 5. FINRA ARBITRATOR-POSITION: Arbitrator NATURE: FINRA Arbitrator INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2001,ADDRESS: 300 Sourth Grand Ave., Suite 1700, Los Angeles CA 90071, United States DESCRIPTION: I have been a non-public FINRA arbitrator for approximately 15 years. I serve on about one case per year. The cases typically last about 3 days. I am one of three panelist, but not the chairperson, which requires additional training and certification. A hearing is held to hear the Claimant party's allegations and then hears the Resondent party's response. At the conclusion of the hearing, the panel discusses and then makes an award to one or both parties.

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-10-09

Designations

• Certified Financial Planner

Other Names

• Dave Davis
• Dave Davis