Keith Warren Splain

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

• 12/1996 → 01/2018
  Sii Investments, Inc.
  Rochester, NY
• 01/2018 → 10/2024
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2019-11-18 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

1) WILLIAM - WARREN ASSOCIATES, LLC POSITION: Agent NATURE: SALE OF FIXED INSURANCE PRODUCTS AS A LICENSED INSURANCE AGENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 10/01/1998 ADDRESS: 2000 Winton Road South, Bldg 5-100, Rochester NY 14618, United States DESCRIPTION: Agent selling fixed insurance products 2) AMERITAS LIFE POSITION: General Agent NATURE: GENERAL AGENCY FOR THE SALE OF FIXED INSURANCE PRODUCTS INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 01/03/2005 ADDRESS: 2000 Winton Road South, Bldg. 5-100, Rochester NY 14618, United States DESCRIPTION: SALE OF FIXED INSURANCE PRODUCTS AS A LICENSED INSURANCE GENERAL AGENT 3) THE MAD KINGS (MUSICAL GROUP) - MUSICIAN/BAND MANAGER - $1000 ANNUAL COMPENSATION - 15 HRS/MONTH

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-20
• S63 Uniform Securities Agent State Law Examination
  1988-06-06