Neil Mccarthy Egleston

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-10-11
CO	RA	APPROVED	2024-10-11
GA	RA	APPROVED	2024-10-11
NC	RA	APPROVED	2024-10-11
SC	RA	APPROVED	2024-10-11
VA	RA	APPROVED	2024-10-11

CA RA
APPROVED

Since 2024-10-11
CO RA
APPROVED

Since 2024-10-11
GA RA
APPROVED

Since 2024-10-11
NC RA
APPROVED

Since 2024-10-11
SC RA
APPROVED

Since 2024-10-11
VA RA
APPROVED

Since 2024-10-11

Branch Locations

4700 S. Syracuse Street Suite 830, Denver, CO 80237 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Northeast Securities	333 Earle Ovington Blvd Suite 706	NY	08/2009	11/2018
American Portfolios Financial Services, Inc.	Holbrook	NY	11/2018	10/2024
Osaic Wealth, Inc.	Scottsdale	AZ	10/2024	Present

08/2009 → 11/2018

Northeast Securities

333 Earle Ovington Blvd Suite 706, NY
11/2018 → 10/2024

American Portfolios Financial Services, Inc.

Holbrook, NY
10/2024 → Present

Osaic Wealth, Inc.

Scottsdale, AZ

Previous Registrations

2018-11-08 → 2024-10-11

American Portfolios Advisors, Inc

Holbrook, NY
2011-03-04 → 2018-11-09

Northeast Asset Management Llc

Miami, FL

Denver, CO
2006-01-10 → 2009-08-20

Osaic Fa, Inc.

Valley Stream, NY

Syosset, NY

Syosset, NY

Jericho, NY
2004-12-10 → 2005-12-21

Hornor, Townsend & Kent, Llc

Uniondale, NY
2002-07-30 → 2004-12-08

Equitable Advisors, Llc

Lake Success, NY

Other Businesses

1) GROUP HEALTH, LIFE, DISABILITY 2) RENTAL PROPERTY STARTED 2004 3) ACT CAPITAL PARTNERS LLC POSITION: Investor NATURE: LLC Limited Liability Corporation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/26/2006 ADDRESS: 3160 Spruce St, Denver CO 80238 DESCRIPTION: I have no duties in the LLC aside from having a tax return prepared by a CPA in January of each year.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-11
S63	Uniform Securities Agent State Law Examination	1997-07-30

S65 Uniform Investment Adviser Law Examination

1999-10-11
S63 Uniform Securities Agent State Law Examination

1997-07-30

Other Names

Neil Egleston

View on SEC IAPD