Stephen Thomas Carlo

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

• 03/2003 → 06/2024
  Securities America, Inc.
  Glastonbury, CT
• 03/2003 → 06/2024
  Securities America Advisors, Inc.
  Glastonbury, CT
• 06/2024 → Present
  Osaic Wealth, Inc.
  Suffield, CT
• 06/2024 → Present
  Osaic Wealth, Inc.
  Suffield, CT

Previous Registrations

• 2003-03-14 → 2024-06-14
  Securities America Advisors, Inc.
  Suffield, CT
• 2002-03-26 → 2003-01-03
  Veravest Investment Advisors, Inc.
  Glastonbury, CT

Other Businesses

1. STEPHEN CARLO POSITION: producer NATURE: INSURANCE SALES - AGENT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/02/2003 ADDRESS: 21 Fairhill Lane, Suffield CT 06078 DESCRIPTION: Life insurance sales 2. JOAN CARLO REVOCABLE TRUST CO TRUSTEE POSITION: Co-Trustee NATURE: sole prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 21 Fair Hill Ln, Suffield CT 06078, United States DESCRIPTION: I am a co-trustee on my Aunt Joan Carlo's revocable trust along with her two daughters. If my services are needed in this capacity, it will be as a tie breaker if my co-trustees cannot agree on an issue. This has not happened to this point in time

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-02-16
• S63 Uniform Securities Agent State Law Examination
  1988-07-19

Designations

• Chartered Financial Consultant