Serafino Frank Maiorano

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

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-08-08
FL	RA	APPROVED	2024-06-07
SC	RA	APPROVED	2021-09-17
NY	RA	APPROVED	2021-04-26

NJ RA
APPROVED

Since 2024-08-08
FL RA
APPROVED

Since 2024-06-07
SC RA
APPROVED

Since 2021-09-17
NY RA
APPROVED

Since 2021-04-26

Branch Locations

294 Hempstead Ave, Malverne, NY 11565 • United States

8754 Bay 16Th Street, Brooklyn, NY 11214 • United States

7-9 Main Street, Sidney, NY 13838 • United States

331 Newman Springs Rd Building 3, Floor 2, Ste 216, Red Bank, NJ 07701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Osaic Wealth, Inc.	Brooklyn	NY	12/2002	Present

12/2002 → Present

Osaic Wealth, Inc.

Brooklyn, NY

Previous Registrations

2002-10-23 → 2002-12-02

Asset & Financial Planning, Ltd

Brooklyn, NY

Other Businesses

1) MAIORANO & ASSOCIATES INC; INVESTMENT RELATED; 8754 BAY 16TH STREET BROOKLYN NY 11214; STATUTORY AGENT; STARTED 01/01/1992; 6 HRS/MTH; 0 HRS/MTH DURING ST HOURS; SALE OF FIXED LIFE, HEALTH, DISABILITY, LONG TERM CARE INSURANCE. 2) MAIORANO & ASSOCIATES INC; NON-INVESTMENT RELATED; 8754 BAY 16TH STREET BROOKLYN NY 11214; OWNER; STARTED 10/01/2004; 25 HRS/MTH; 15 HRS/MTH DURING ST HOURS; TAX PREPARATION FOR STATE AND FEDERAL TAXES (SEASONAL).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-04-10
S63	Uniform Securities Agent State Law Examination	1991-10-25

S65 Uniform Investment Adviser Law Examination

2003-04-10
S63 Uniform Securities Agent State Law Examination

1991-10-25

View on SEC IAPD