James Santangelo

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

• 02/2008 → 01/2024
  Osaic Wealth, Inc.
  Hopewell Junction, NY
• 01/2024 → Present
  Osaic Wealth, Inc.
  Fishkill, NY

Other Businesses

1. OSAIC WEALTH, INC CORPORATE RIA. JAMES (JIM) SANTANGELO, YES, 4024 CHESTNUT RIDGE ROAD, FISHKILL, NY, 12524, INVESTMENT ADVISOR, START DATE: 2008, HOURS PER MONTH: 160, HOURS DURING TRADING: 160, DUTIES: INVESTMENT ADVICE. 2. JIM SANTANGELO POSITION: refer to section 11 NATURE: Refer to section 11? INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2024 ADDRESS: 4024 CHESTNUT RIDGE RD, FISHKILL NY 12524, United States DESCRIPTION: My wife and I have our accounts at Osaic - 2 IRAs and 1 SEP. My wife and I have concluded our estate and trust planning. My wife and I have POAs for each other - dated 8/15/24. My wife and I are executors of each other's last will and testament dated 8/15/24. 3. TRUST REFERRALS FOR CLIENTS POSITION: Financial Advisor NATURE: self employed. Osaic financial advisor. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/17/2024 ADDRESS: 4024 CHESTNUT RIDGE RD, FISHKILL NY 12524, United States DESCRIPTION: Per the SPM: Any trust referral activity with securities clients is limited to referring clients to an attorney or other qualifying third party to obtain a trust document, and possibly assisting clients in gathering requested information in cooperation with the attorney. I will not accept referral fees. 4. JAMES (JIM) SANTANGELO POSITION: Owner - NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2008 ADDRESS: 4024 CHESTNUT RIDGE RD, FISHKILL NY 12524, United States DESCRIPTION: SELLING ANNUITIES (fixed), LIFE INSURANCE, ACCIDENT INSURANCE, LONG TERM CARE INSURANCE AND HEALTH INSURANCE 5. FINANCIAL PLANNING AND CONSULTING POSITION: CERTIFIED FINANCIAL PLANNER professional NATURE: I am self employed and my Broker/Dealer Osaic. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/17/2024 ADDRESS: 4024 CHESTNUT RIDGE RD, FISHKILL NY 12524, United States DESCRIPTION: Providing clients with financial plans and consulting and where applicable assist clients in planning for college expenses as part of the financial planning journey. (Planning for college expenses will follow the guidelines as set forth in the Osaic SPM under the OBA section)

Exams

• S66 Uniform Combined State Law Examination
  2008-02-07

Designations

• Certified Financial Planner