Dorothy Ann Allen

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

• 05/2002 → Present
  Penn Mutual Life Ins Co
  Richmond, VA
• 02/2009 → 01/2025
  Lincoln Financial Advisors Corp
  Conshohocken, PA
• 01/2025 → Present
  Osaic Wealth, Inc.
  Manakin Sabot, VA

Previous Registrations

• 2009-02-24 → 2025-01-24
  Osaic Fa, Inc.
  Richmond, VA
  Blue Bell, PA
  Manakin Sabot, VA
• 2004-02-11 → 2009-03-06
  Hornor, Townsend & Kent, Llc
  Richmond, VA
  Glen Allen, VA

Other Businesses

1) RCG LLC POSITION: Owner NATURE: Entity INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2013 ADDRESS: 12237 Bremner Ridge Circle, Manakin Sabot, VA 23103 DESCRIPTION: Pay bills, payroll, etc. 2) THE RIVERCROSS GROUP LLC POSITION: Owner NATURE: Insurance and Benefits INVESTMENT RELATED: No NUMBER OF HOURS: 300 SECURITIES TRADING HOURS: 300 START DATE: 09/01/2013 ADDRESS: 12237 Bremner Ridge Circle, Manakin Sabot, VA 23103 DESCRIPTION: Sale of group benefit products 3) ASPEN PARK CONDO ASSOCIATION POSITION: Board Member NATURE: Condo Association INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2021 ADDRESS: 12237 Bremner Ridge Circle, Manakin Sabot, VA 23103 DESCRIPTION: Conduct mtgs to review the business of the association. 4) DA RENTAL POSITION: owner NATURE: Real Estate holding 5900 School Ave, Richmond VA INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 12237 Bremner Ridge Cir, Manakin Sabot VA 23103, United States DESCRIPTION: administrative 5) THE ALLEN PROPERTY GROUP LLC POSITION: managing member NATURE: Real Estate holding company INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/31/2026 ADDRESS: 3460 Mayland Ct #100, Henrico VA 23233, United States DESCRIPTION: administrative duties

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-02-03
• S63 Uniform Securities Agent State Law Examination
  1997-12-15

Other Names

• Dorothy Ann Croteau
• Dorothy Ann Ordway
• Dorothy A Allen