Jack William Stumpus

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

• 01/2009 → 09/2023
  Sagepoint Financial,Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Santa Monica, CA

Previous Registrations

• 2009-09-29 → 2023-09-01
  Osaic Services, Inc.
  Phoenix, AZ
  Santa Monica, CA

Other Businesses

1) INDEPENDENT CAPITAL MANAGEMENT POSITION: Insurance Agent NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 11/30/1997 ADDRESS: 2450 Colorado Ave Suite 100 E, Santa Monica CA 90404 DESCRIPTION: Sales and processing of Life and Health Insurance and Variable Annuities and Fixed Annuities. 2) AMERICAN CONTINENTAL FUNDING POSITION: Mortgage Loan Rep NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2017 ADDRESS: 12501 Philadelphia St., Whittier CA 90601 DESCRIPTION: Take loan application. Communicate and coordinate with loan borrower and loan processor and loan broker to complete loan. 3) JACK STUMPUS POSITION: Property Mgmt Assistance NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: 1430 Idaho Ave, Santa Monica CA 90403 DESCRIPTION: Assist elderly mother / property owner in taking care of tenant requests at two multi family buildings in Santa Monica. 4) JACK STUMPUS NOTARY POSITION: Statutory Agent - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2006 ADDRESS: 1430 Idaho Ave, Santa Monica CA 90403 DESCRIPTION: Notarize Trust documents 5) TREE TOP 128 LLC POSITION: Investor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/28/2020 ADDRESS: 1430 Idaho Ave, Santa Monica CA 90403 DESCRIPTION: Passive real estate investor reviewing income statement once a month. No other duties. 6) ST. SOPHIA CATHEDRAL FOUNDATION POSITION: Board Member NATURE: Non-Profit Church Foundation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/09/2021 ADDRESS: 1324 S. Normandy Ave, Los Angeles CA 90006 DESCRIPTION: Attend quarterly board meetings which last approximately 2 hours. Property management and budgets. Investment review of accounts managed by an independent outside advisory. I have no discretion over investment accounts in any way. (7) Citadel Law Corp. POSITION: Statutory Agent/Sole Proprietor NATURE: Corporation INVESTMENT RELATED: NO NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1998 ADDRESS: 2372 Morse Ave, Irvine, CA 92614 DESCRIPTION: Referring clients and gathering information requested by an attorney. 8) ICM LENDING POSITION: Statutory Agent - NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2007 ADDRESS: 695 Town Center Drive Suite # 530, SUITE 45, Costa Mesa CA 92626 DESCRIPTION: Counsel clients through the loan process...applying, qualifying, assisting with processing.

Exams

• S66 Uniform Combined State Law Examination
  2004-12-22
• S63 Uniform Securities Agent State Law Examination
  1997-07-14