Brian Diffily

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:

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-09-25
SC	RA	APPROVED	2021-10-08
NJ	RA	APPROVED	2018-11-02

FL RA
APPROVED

Since 2024-09-25
SC RA
APPROVED

Since 2021-10-08
NJ RA
APPROVED

Since 2018-11-02

Branch Locations

Mount Pleasant, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
John Hancock/Signator	Roseland	NJ	02/2003	11/2018
Royal Alliance Associates, Inc.	Livingston	NJ	11/2018	08/2023
Osaic Wealth	Livingston	NJ	08/2023	Present

02/2003 → 11/2018

John Hancock/Signator

Roseland, NJ
11/2018 → 08/2023

Royal Alliance Associates, Inc.

Livingston, NJ
08/2023 → Present

Osaic Wealth

Livingston, NJ

Previous Registrations

2016-03-29 → 2018-11-02

Signator Investors, Inc.

Roseland, NJ

Livingston, NJ

Other Businesses

1. INSURANCE BROKERAGE POSITION: insurance agent NATURE: sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 50 START DATE: 05/01/2003 ADDRESS: 1803 Omni Blvd, Mount Pleasant, SC 29466 DESCRIPTION: sales and service of non-variable insurance 2. GRANITE BRIDGE WEALTH MANAGEMENT POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2021 ADDRESS: 1803 Omni Blvd, Mount Pleasant, SC 29466 DESCRIPTION: family protection / succession planning insurance / investment planning 3. RAVEN'S RUN BOARD POSITION POSITION: Member NATURE: HOA Board position in community where advisor lives residentially. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/14/2023 ADDRESS: 1 Clubhouse Lane, Mount Pleasant SC 29466, United States DESCRIPTION: Support President and VP of the board, interact with HOA leadership on behalf of community. 4. STEPHEN FROHN ESTATE POSITION: Administrator NATURE: other, Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/10/2025 ADDRESS: 1803 Omni Blvd, Mount Pleasant SC 29466, United States DESCRIPTION: settling 7 year estate. Original Executor can not complete his duties.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-03-09
S63	Uniform Securities Agent State Law Examination	2004-04-20

S65 Uniform Investment Adviser Law Examination

2016-03-09
S63 Uniform Securities Agent State Law Examination

2004-04-20

View on SEC IAPD