Todd Alan Gaswick

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

• 11/2014 → 06/2024
  Securities America Inc
  La Vista, NE
• 11/2014 → 06/2024
  Securities America Advisors
  La Vista, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  La Vista, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  La Vista, NE

Previous Registrations

• 2014-12-16 → 2024-06-14
  Securities America Advisors, Inc.
  La Vista, NE
• 2005-09-02 → 2014-12-17
  First Command Brokerage Services, Inc.
  Bellevue, NE
  Papillion, NE
• 2005-01-05 → 2005-09-02
  First Command Bank
  Fort Worth, TX

Other Businesses

1. GASWICK FAMILY RANCH, Management, Ranch/Farm, NO HOURS: 2 SEC TRADING HRS: 0, 2/1/2005, 6242 430th Trail, Hay Springs, NE 69347, Ranch work consists of fence repair in the spring prior to the rancher that leases the pasture moving his steers in for Spring/Summer grazing. Fence work takes about 3 days/year. General upkeep throughout the year as necessary. 2. TODD GASWICK Soliciting Advisor, Corp, YES HOURS: 20 SEC TRADING HRS: 1 11/1/2014 ADDRESS: 8108 S 68th Ave Ct, La Vista, NE 68128, Meet with prospective clients and discuss starting investments or moving existing investments over to me. Placing investments in advisory (fee based). 3.CONQUERING YOUR WEALTH, I'm author of book NATURE: Fall 2019 my book, Conquering Your Wealth, became available for purchase. No, HOURS: 2 SECURITIES TRADING HOURS: 2, 12/03/2019,8108 S 68th Ave Ct, LA VISTA NE 68128, Beginning back in late Fall 2019 my book, Conquering Your Wealth, became available for purchase. The book itself was approved by SAI Compliance. I've given out and sold several 100 books since then. The book is available in paperback format and electronic. I do not use the book for income purposes but used as a cornerstone of my marketing promoting myself, where I come from, my "why" story, and my focus on tax-advantaged strategies. I continue to provide this book to prospective clients. 4.DBA OF TAG FINANCIAL SOLUTIONS, Financial Advisor/Owner, Insurance Sales, No HOURS: 50 SEC TRADING HRS: 50, 7/1/2014, 8108 S 68th Ave Ct, La Vista, NE 68128, A good portion of my business model involves talking to my clients and prospective clients about their life insurance needs. I've already checked the type of life insurance I sell, and the type is dependent on the person's needs that I'm talking to. I will use a WL policy for a final expense need, emphasize the need for permanent life insurance, but will supplement or start with term life for affordability purposes. I work with importance of building tax-advantaged sources of income/wealth. That is primarily going to be Roth type investments and life insurance strategies. 5. NAIFA-NEBRASKA POSITION: State President NATURE: National Association of Insurance and Financial Advisors. I held various executive board positions back in 2014-2017. Local boards have gone away in recent years and now organization is made exclusively of state boards. Recently held Secretary- Treasurer in 2024, President-Elect in 2025, and effective 1 January 2026, President. In 2027 I'll hold honorary position of Immediate Past-President. First official activity in which I will serve as the state president will be on 14 January. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: PO Box 24133, Omaha NE 68124 DESCRIPTION: Overall responsibility for Chapter's success by building a team of leaders to accomplish its immediate and long-term goals. Working closely with President-Elect and Chapter Staff, President ensures strong future and continuity for the Chapter. Duties include: formulating goals through strategic planning include strategies for Membership, Advocacy and Programs and follow up throughout year. Appoint and be an ex officio member of standing and special committees. Strong leadership, vision and management are necessary for the smooth operation and forward motion to serve membership and survive. Delegate--Identify, recruit, train and empower other leaders to serve where they are most passionate, Conduct orientation session to clearly explain responsibilities and resources. Representing the Chapter to members, public, media and NAIFA, Presiding at meetings, Reviewing Chapter Bylaws annually, Identifying and implementing services to meet needs of members, Responding to requests from NAIFA and/or directing Chapter Staff to do so & Appointing a Governance Committee.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-11-15
• S63 Uniform Securities Agent State Law Examination
  2004-01-02