Robert Edwin Finke

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

• 03/2002 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Clinton, WA
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Clinton, WA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Clinton, WA

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Clinton, WA
• 2002-04-17 → 2020-11-06
  Kms Financial Services, Inc.
  Clinton, WA
  Seattle, WA

Other Businesses

SLOW FOOD WHIDBEY ISLAND POSITION: Board member NATURE: Promotes and supports the use of local food and farms in the area. Conducts food events every month or two with members. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2018 ADDRESS: P O Box 1545, Freeland WA 98249, United States DESCRIPTION: Attend board meeting and vote on items.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-04-04
• S63 Uniform Securities Agent State Law Examination
  1997-12-06