Casey Michael Broach

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

• 08/2012 → 10/2017
  National Planning Corp
  Santa Monica, CA
• 10/2017 → 09/2023
  Sagepoint Financial, Inc.
  San Diego, CA
• 09/2023 → Present
  Osaic Wealth, Inc.
  San Diego, CA

Previous Registrations

• 2017-10-27 → 2023-09-01
  Osaic Services, Inc.
  San Diego, CA
  Phoenix, AZ
  San Diego, CA
• 2012-08-08 → 2017-11-01
  National Planning Corporation
  San Diego, CA
• 2004-10-01 → 2012-07-24
  Lpl Financial Llc
  San Diego, CA
  San Diego, CA

Other Businesses

1. DACA INVESTMENT SERVICES POSITION: Executive VP NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 09/01/2004 ADDRESS: 4542 Ruffner St STE 110, San Diego CA 92111, United States DESCRIPTION: Client investment management and brokerage service for securities related products through broker dealer 2. DACA MORTGAGE & REALTY POSITION: Vice President NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/21/2010 ADDRESS: 4542 Ruffner St STE 110, San Diego CA 92111, United States DESCRIPTION: I am an officer of the corporation and am not licensed in the area. My business partner is a licensed broker for real estate and mortgage. 3. DACA FINANCIAL GROUP POSITION: Vice President NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2004 ADDRESS: 4542 Ruffner St STE 110, San Diego CA 92111, United States DESCRIPTION: DACA Financial Group is the name of our corporation. 4. DACA TAX SERVICES POSITION: Vice President NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2008 ADDRESS: 4542 Ruffner St STE 110, San Diego CA 92111, United States DESCRIPTION: I am a licensed tax preparer and prepare tax returns for individuals 5. 299TRUST.COM POSITION: Vice President NATURE: LLC STATE OF CA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 4542 Ruffner St STE 110, San Diego CA 92111, United States DESCRIPTION: I am an officer in the corporation. My business partner David Afzal is a legal document assistant preparer and he is able to assist clients in the self preparation of legal documents. I am not licensed in this area and do not have any involvement. 6. PERSONAL RENTAL POSITION: Owner NATURE: Personal Rental Property held in trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/29/2025 ADDRESS: 1781 Hermes St, San Diego CA 92154, United States DESCRIPTION: I self manage a single family rental property in San Diego 7. RENTAL/SECOND HOME POSITION: Owner NATURE: Individual owner held in trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/09/2026 ADDRESS: 75-6009 Alii Dr, P3, Kona HI 96740, United States DESCRIPTION: Manage rental property for vacation tenants 8. CORONADO HIGH SCHOOL WATER POLO BOOSTER CLUB POSITION: Treasurer NATURE: Non-Profit 501(C)3 though high school INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2026 ADDRESS: 650 D Ave, Coronado CA 92118, United States DESCRIPTION: I coordinate with the school district finance department to coordinate payments for the high school water polo team. I am not involved in bank account transactions merely serving as book keeper and expense coordinator.

Exams

• S66 Uniform Combined State Law Examination
  2004-01-03

Designations

• Certified Financial Planner