Joseph A. Thomas

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

• 01/2002 → Present
  Diversified Advisors, Inc.
  New Castle, PA
• 09/2014 → 07/2020
  Sterne Agee Financial Services, Inc.
  New Castle, PA
• 01/2015 → 07/2020
  Sterne Agee Investment Advisor Services, Inc.
  Birmingham, AL
• 07/2020 → 06/2024
  Securities America Inc
  New Castle, PA
• 07/2020 → 06/2024
  Securities America Advisors
  New Castle, PA
• 06/2024 → Present
  Osaic Wealth, Inc.
  New Castle, PA
• 06/2024 → Present
  Osaic Wealth, Inc.
  New Castle, PA

Previous Registrations

• 2020-07-21 → 2024-06-14
  Securities America Advisors, Inc.
  New Castle, PA
• 2015-01-30 → 2020-07-22
  Stonex Advisors Inc.
  New Castle, PA
  Birmingham, AL
• 2003-05-27 → 2015-01-30
  Wrp Investments, Inc.
  New Castle, PA
  New Castle, PA
  Youngstown, OH

Other Businesses

DIVERSIFIED ADVISOR GROUP, LLC POSITION: agent/broker NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2006 ADDRESS: 10 N Mill St, NEW CASTLE PA 16101, United States DESCRIPTION: Sale and marketing of life and health insurance PEOPLE IN NEED POSITION: Board President NATURE: Social services organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2010 ADDRESS: 2703 W State St, New Castle PA 16101, United States DESCRIPTION: Lead Quarterly Meetings SAA POSITION: investment advisor NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/01/2020 ADDRESS: 10 N Mill St, NEW CASTLE PA 16101, United States DESCRIPTION: managed accounts DBA - Diversified Advisor Group, LLC NATIONAL ASSOCIATION OF THE WOLVES POSITION: Past President NATURE: Civic organization that gives out scholarships INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/04/2020 ADDRESS: PO Box 524, Ellwood City PA 16117, United States DESCRIPTION: Currently Past President of the club. I attend semi annual meetings

Exams

• S66 Uniform Combined State Law Examination
  2002-08-15