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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:

Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2026-05-22
  • AL RA
    APPROVED
    Since 2026-05-22

Branch Locations

Huntsville, AL • United States

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 01/2018
Mml Investors Services, Llc Santa Rosa CA 07/2016 01/2018
Msi Financial Services Santa Rosa CA 07/2016 03/2017
Pruco Securities Llc Windsor CA 01/2018 03/2019
Prudential Insurance Company Of America Windsor CA 01/2018 03/2019
American General Life Insurance Brentwood TN 05/2019 02/2021
Aig Capital Services, Inc. Brentwood TN 05/2019 02/2021
Proequities Inc Windsor CA 02/2021 05/2022
Protective Distributors (A Division Of Protective Life Ins Co) Windsor CA 02/2021 05/2022
Aig Capital Services, Inc. Houston TX 06/2022 01/2023
Highland Capital Brokerage Birmingham AL 09/2023 05/2026
Aig Huntsville AL 02/2023 08/2023
Osaic Wealth, Inc. Birmingham AL 06/2024 Present
  • 07/2016 → 01/2018
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 07/2016 → 01/2018
    Santa Rosa, CA
  • 07/2016 → 03/2017
    Msi Financial Services
    Santa Rosa, CA
  • 01/2018 → 03/2019
    Pruco Securities Llc
    Windsor, CA
  • 01/2018 → 03/2019
    Prudential Insurance Company Of America
    Windsor, CA
  • 05/2019 → 02/2021
    American General Life Insurance
    Brentwood, TN
  • 05/2019 → 02/2021
    Aig Capital Services, Inc.
    Brentwood, TN
  • 02/2021 → 05/2022
    Proequities Inc
    Windsor, CA
  • 02/2021 → 05/2022
    Protective Distributors (A Division Of Protective Life Ins Co)
    Windsor, CA
  • 06/2022 → 01/2023
    Aig Capital Services, Inc.
    Houston, TX
  • 09/2023 → 05/2026
    Highland Capital Brokerage
    Birmingham, AL
  • 02/2023 → 08/2023
    Aig
    Huntsville, AL
  • 06/2024 → Present
    Birmingham, AL
Previous Registrations
  • 2017-03-25 → 2018-01-31
    Santa Rosa, CA
  • 2001-05-29 → 2017-03-25
    Msi Financial Services, Inc.
    Santa Rosa, CA
    Santa Rosa, CA
    Santa Rosa, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-02-23
  • S63 Uniform Securities Agent State Law Examination
    2018-02-23
Designations
  • Chartered Financial Consultant
Other Names
  • Maura Patterson

View on SEC IAPD

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