Daniel Charles Polizzotti

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
FL	RA	APPROVED	2024-09-27
MA	RA	APPROVED	2024-06-18
TX	RA	APPROVED	2023-07-18
GA	RA	APPROVED	2018-11-02
NJ	RA	APPROVED	2018-11-02

FL RA
APPROVED

Since 2024-09-27
MA RA
APPROVED

Since 2024-06-18
TX RA
APPROVED

Since 2023-07-18
GA RA
APPROVED

Since 2018-11-02
NJ RA
APPROVED

Since 2018-11-02

Branch Locations

12 N State Route 17 Suite 109, Paramus, NJ 07652 • 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

Organization	City	State	From	To
Signator Investors, Inc.	Boston	MA	07/1989	11/2018
Osaic Wealth, Inc.	Paramus	NJ	11/2018	Present

07/1989 → 11/2018

Signator Investors, Inc.

Boston, MA
11/2018 → Present

Osaic Wealth, Inc.

Paramus, NJ

Previous Registrations

2004-09-07 → 2018-11-02

Signator Investors, Inc.

Roseland, NJ

Paramus, NJ

Other Businesses

1. ACORN FINANCIAL SERVICES POSITION: Financial Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/31/1989 ADDRESS: 12 N State Route 17, Suite 109 Paramus, NJ 07652, United States DESCRIPTION: Financial Advisor doing business under Acorn Financial Services 2. WINDHAM MOUNTAIN POSITION: part time coach NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 12/16/2021 ADDRESS: 19 Resort Dr., Windham NY 12496, United States DESCRIPTION: help coach young skiers 3. JERSEY GIRLS LACROSSE ASSOCIATION POSITION: Board Member NATURE: 501C non profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/12/2023 ADDRESS: 64 Sun Valley Rd., Ramsey NJ 07446, United States DESCRIPTION: Help run the organization, organize their lacrosse jamboree and serve on the ethics committee 4. INSURANCE BROKERAGE POSITION: Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/16/1989 ADDRESS: 12 N State Rt 17, Suite109, Paramus NJ 07652, United States DESCRIPTION: Sales and Service of non variable insurance, fixed annuities, di, ltc, health and group.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-14
S63	Uniform Securities Agent State Law Examination	1991-11-11

S65 Uniform Investment Adviser Law Examination

1999-01-14
S63 Uniform Securities Agent State Law Examination

1991-11-11

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Daniel C Polizzotti

View on SEC IAPD