Matthew David Brotherton

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

• 09/2000 → 11/2018
  Sii/John Hancock Financial Services, Inc.
  Boston, MA
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Richmond, VA

Previous Registrations

• 2011-12-21 → 2018-11-02
  Signator Investors, Inc.
  Raleigh, NC
  Henrico, VA
  Richmond, VA

Other Businesses

1. 1752 INSURANCE POSITION: President NATURE: c corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2018 ADDRESS: 7100 Forest Avenue, Suite 101, Richmond VA 23226, United States DESCRIPTION: Marketing name for Fixed Insurance- agent 2. 1752 FINANCIAL INC POSITION: Owner conducting securities, investment advisory and insurance business under this business name NATURE: C Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2005 ADDRESS: 7100 Forest Avenue, Suite 101, Richmond VA 23226, United States DESCRIPTION: Sales and marketing of securities, investment advisory and insurance business under this business name 3. 1752 Financial, Inc.; POSITION: Agent; NATURE: C-Corporation; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 20; SECURITIES TRADING HOURS: 20; START DATE: 01/01/2005; ADDRESS: 7100 Forest Avenue, Suite 101, Richmond, Virginia 23226, United States; DESCRIPTION: sales and marketing of fixed insurance 4. MIRA GENETIX POSITION: none NATURE: MIRA Genetix is a full service, High Complexity, CLIA certified laboratory which is accredited by CAP. The laboratory has been in business since 1993, servicing physicians, hospitals and large health groups throughout the US. With over 30 years of experience, we specialize in everything from routine clinical labs to high end genetic testing, focusing on infectious disease. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/11/2023 ADDRESS: 12011 Lee Jackson Memorial Highway, Suite 200, Fairfax VA 22033, United States DESCRIPTION: Introducing the owner of the firm to physicians. The physicians are clients of mine. I am simply introducing the owner of the lab company to people who could use his services.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-12-05
• S63 Uniform Securities Agent State Law Examination
  2001-09-17