Francis Michael Zovistoski

Current Employers

Employment History

• 07/2001 → Present
  Uhy Llp
  Albany, NY
• 09/2007 → 09/2020
  Securities Service Network, Inc.
  Albany, NY
• 10/2003 → Present
  Uhy Capital Advisors, Llc
  Albany, NY
• 09/2020 → 06/2024
  Securities America, Inc.
  Albany, NY
• 09/2020 → 06/2024
  Securities America Advisors, Inc.
  Albany, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Albany, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Albany, NY

Previous Registrations

• 2020-09-18 → 2024-06-14
  Securities America Advisors, Inc.
  Albany, NY
• 2011-08-25 → 2020-09-18
  Ssn Advisory, Inc.
  Albany, NY
• 2015-09-14 → 2016-12-31
  Uhy Capital Advisors, Llc
  Albany, NY
• 2008-08-14 → 2013-12-26
  Uhy Capital Advisors, Llc
  Albany, NY
• 2006-06-26 → 2007-09-17
  Cetera Investment Advisers Llc
  Albany, NY

Other Businesses

1. CAPITAL REGION CHAMBER OF COMMERCE Committee member -Business Advocacy #HRS: 1 SEC TRADE HRS: 1 -1/1/18 -5 Computer Dr S, Albany NY 12205 - We are engaged in influencing polices that make Capital Region more competitive and lead to job creation. 2. UHY ADVISORS NY, INC. Managing Director -Business consulting and tax services #HRS: 20 SEC TRADE HRS: 20 -7/1/88 -4 Tower Plc 7th Flr, Albany NY 12203 -Perform and supervise all non-attest services (tax and consulting) 3. UHY CAPITAL AGENCY LLC Managing Director -Insurance Agency #HRS: 1 SEC TRADE HRS: 1 -1/1/00 -4 Tower Plc, Albany NY 12203 -All insurance commissions are assigned to UHY Capital Agency LLC. UHY Capital Agency LLC is single member LLC of UHY Advisors, Inc. My employer is UHY Advisors NY, Inc., which is also single member LLC of UHY Advisors, Inc. 5. UHY ADVISORS CORPORATE FINANCE LLC (FKA: UHY CAPITAL LLC) Managing Director -Broker/dealer INVEST RELATED Yes #HRS 1 SEC TRADE HRS 1 -1/1/00 -4 Tower Plc 7th Flr, Albany NY 12203 6.DOUBLE H RANCH, A SERIOUS FUN CAMP Board and committee member -Not for profit INVEST RELATED No #HRS 2 SEC TRADE HRS 2 -1/1/17 -97 Hidden Valley Rd, Lake Luzerne NY 12846 -This is camp for kids with serious illness. My duties are to provide governance oversight to organization. As Treasurer, I oversee and chair Finance Committee. Finance committee reviews and approves internal financial statements, annual budget, and receives quarterly presentations from Ranch's three investment managers. 7. JOMIZA LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2022 ADDRESS: 4 Laurel Lane, Schenectady NY 12304 DESCRIPTION: My wife and I established this LLC to hold our beach house (Z-Scape) in North Carolina, which is rented during the summer season (We hire a property manager to do all the work) 8. EASTERN NEW YORK ANGELS LLC (ENYA) POSITION: Investor NATURE: Personal Angel investing INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/28/2011 ADDRESS: 8 Hughes Commons, Slingerlands NY 12159 DESCRIPTION: Currently, ENYA has three funds. UHY partners invested only in Fund 1 (My total investment is under $1,500). The purpose of the fund is to help start-up's in the area to support employment and economic growth. Have been monitoring (and writing off investments in the fund for years). Fund 1 has been closed to new investors and has not made a new investment in years. 9. UHY LLP POSITION: Partner NATURE: CPA practice: Conducting and supervising attest services. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 07/01/1988 ADDRESS: 4 Tower Place, 7th Floor, Albany NY 12203 DESCRIPTION: CPA practice: As a Partner in this CPA firm, my duties and activities include conducting and supervising attest services. 10. 518 ELEVATED: FKA: CAPITAL REGION SPONSOR A SCHOLAR POSITION: Board Member NATURE: Support to underserved students (College Success Program) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 1218 Central Avenue, Suite 203, Albany NY 12205, United States DESCRIPTION: Emeritus Board Member. No longer active on the board. Moved to emeritus status (non-voting) as a past president. 11. UHY ADVISORS NORTHEAST, INC. POSITION: Managing Director NATURE: Business consulting and tax services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/01/1988 ADDRESS: 4 Tower Place, 7th Floor, Albany NY 12203, United States DESCRIPTION: Perform and supervise all non-attest services (tax and consulting)

Exams

• S66 Uniform Combined State Law Examination
  2000-11-27

Designations

Other Names

• F. Michael Zovistoski