Joshua David Swayne

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

• 01/2015 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Bellevue, WA
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Bellevue, WA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Bellevue, WA

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Bellevue, WA
• 2015-01-16 → 2020-11-06
  Kms Financial Services, Inc.
  Bellevue, WA
  Seattle, WA
  Seattle, WA
• 2012-01-20 → 2015-02-09
  Signator Financial Services, Inc.
  Bellevue, WA
  Bellevue, WA
• 2003-09-22 → 2012-01-23
  Pacific West Financial Consultants Inc
  Renton, WA
  Seattle, WA

Other Businesses

1.JOSHUA D. SWAYNE POSITION: Representative NATURE: Life and Disability Insurance Licensed INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2012 ADDRESS: 400 112th Ave NE, Bellevue WA 98004 DESCRIPTION: Only investment related when there is an indexed option within a whole life policy or an equity indexed option. 2. JOSHUA SWAYNE POSITION: IAR NATURE: Advisory Accounts as an IAR. Fee based wrap accounts all held at Pershing. INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 6 START DATE: 01/16/2012 ADDRESS: 400 112th Ave NE, Redmond WA 98052 DESCRIPTION: Advisory Accounts as an IAR. Fee based wrap accounts all held at Pershing. 3. DBA - Crossroads Capital Management 4. CROSSROADS, LLC POSITION: Sole Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 400 112th Ave NE, Suite 135, Bellevue WA 98004, United States DESCRIPTION: LLC used to operate business/dba. This is how I have business structured now and is simply used to run payroll and expenses for Crossroads Capital Management. Switched from a C-Corp to an LLC per the advice of CPA.

Exams

• S66 Uniform Combined State Law Examination
  2001-04-13

Other Names

• Josh Swayne