David Ahmad Afzal

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

• 08/2012 → 10/2017
  National Planning
  San Diego, CA
• 10/2017 → 09/2023
  Sagepoint Financial, Inc.
  San Diego, CA
• 09/2023 → Present
  Osaic Wealth, Inc.
  San Diego, CA

Previous Registrations

• 2021-05-20 → 2023-09-01
  Osaic Services, Inc.
  San Diego, CA

Other Businesses

1. DACA INVESTMENT SERVICES POSITION: Executive VP NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 11/01/2011 ADDRESS: 4542 Ruffner St STE 110, San Diego CA 92111, United States DESCRIPTION: Client investment management and brokerage service for securities related products through broker dealer. DACA Financial Group is our corporation name. 2. DACA FINANCIAL GROUP POSITION: President NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2011 ADDRESS: 4542 Ruffner Street, Suite 110, San Diego CA 92111, United States DESCRIPTION: Client investment management and brokerage service for securities-related products through broker dealer. DACA Financial Group is our corporate name. 3. DACA MORTGAGE AND REALTY POSITION: President/Broker NATURE: S Corp INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 05/25/2007 ADDRESS: 4542 Ruffner Street, Suite 110, San Diego CA 92111, United States DESCRIPTION: I am a licensed real estate broker in the State of California, license 01525925, which I use to transact real estate purchases or sales of real estate. I also hold a NMLS mortgage license in which I use to transact mortgage loans. I do not use any proceeds from either business for investment-related products. DACA Mortgage and Realty is a marketing name for the mortgage business. S Corp is DACA Financial Group. 4. DACA TAX SERVICES POSITION: President NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/30/2012 ADDRESS: 4542 Ruffner Street, Suite 110, San Diego CA 92111, United States DESCRIPTION: I do not prepare taxes in our office, I am an officer of the corporation, and my business partner prepares all tax returns, as Casey Broach is the registered licensed tax preparer. DACA Financial Group is our corporation name. 5. 299 ESTATE PLANNING SERVICES POSITION: President NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 4542 Ruffner Street, Suite 110, San Diego CA 92111, United States DESCRIPTION: I am a licensed Legal Document Assistant Preparer and am able to provide clients with self-help services for the preparation of legal documents. 6. DAVID AFZAL POSITION: Insurance Agent NATURE: Life & health insurance in CA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 20 START DATE: 11/01/1999 ADDRESS: 4542 Ruffner Street, Suite 110, San Diego CA 92111, United States DESCRIPTION: Quoting & selling fixed life insurance products 7. STONECREST VILLAGE HOA POSITION: Board Member, Treasurer NATURE: Community Homeowners Association with Hampton Place at Stonecrest Village INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 3110 W. Canyon Ave, San Diego CA 92123, United States DESCRIPTION: As a board member and Treasurer, my role is to review and interpret the financial statements of the association and present that analysis to the board. This includes annualizing expenses and income to ensure we understand the financial health of the community. I participate in board meetings with an equal vote alongside the other four members on all community matters. I do not have any access to or manage any of the association's financial accounts; those are exclusively handled by the third-party management company we have hired. Our board meets once a once for approximately one hour.

Exams

• S66 Uniform Combined State Law Examination
  2021-05-15
• S63 Uniform Securities Agent State Law Examination
  1999-06-16