Swan Sihua Shen

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

• 03/2014 → Present
  Holistic Financial & Retirement Group
  Burlington, MA
• 09/2014 → 07/2019
  Capital Financial Services, Inc
  Minot, ND
• 07/2019 → 09/2023
  Sagepoint Financial, Inc.
  Burlington, MA
• 09/2023 → Present
  Osaic Wealth, Inc.
  Burlington, MA

Previous Registrations

• 2019-07-03 → 2023-09-01
  Osaic Services, Inc.
  Burlington, MA
  Bedford, NH
  Burlington, MA
• 2017-12-05 → 2019-07-01
  Capital Financial Services, Inc.
  Burlington, MA
  Burlington, MA
  Bedford, NH
• 2004-04-14 → 2013-09-24
  Cuna Brokerage Services, Inc.
  Waltham, MA
  Waltham, MA

Other Businesses

1) HOLISTIC FINANCIAL & RETIREMENT GROUP POSITION: Founder & President NATURE: LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 03/20/2014 ADDRESS: 1500 District Ave., Burlington MA 01803, United States DESCRIPTION: Offer fixed insurance products based on clients needs through various insurance companies.

Exams

• S66 Uniform Combined State Law Examination
  2004-04-07
• S63 Uniform Securities Agent State Law Examination
  1998-06-03

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Swan Sihua Zhang
• Swan Sihua Zhang