Scott L Forgues

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

• 01/2009 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Tucson, AZ
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Tucson, AZ
• 06/2024 → Present
  Osaic Wealth, Inc.
  Tucson, AZ
• 06/2024 → Present
  Osaic Wealth, Inc.
  Tucson, AZ

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Tucson, AZ
  Tucson, AZ
• 2009-01-30 → 2020-11-06
  Kms Financial Services, Inc.
  Tucson, AZ
  Tucson, AZ
  Tucson, AZ
  Seattle, WA
• 2006-11-29 → 2008-12-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tucson, AZ

Other Businesses

1. DBA - Fordrix Advisors 2. FORDRIX LLC POSITION: Member NATURE: Real Estate Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2002 ADDRESS: 8165 E Crooked Tree Trl, Tucson AZ 85715, United States DESCRIPTION: Fordrix LLC is a holding company for rental properties owned by my wife and I. We currently own 5 properties under the LLC ownership. One additional property held in the name of our revocable living trust was converted to personal use June 1, 2021. 3. LIFE INSURANCE SALES POSITION: Owner NATURE: Life Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/17/2007 ADDRESS: 8165 E Crooked Tree Trl, Tucson AZ 85715, United States DESCRIPTION: If needed, I sell life insurance if it is appropriate for a client's needs. 4. REAL ESTATE BROKER (FOR PERSONAL TRANSACTIONS) POSITION: Owner NATURE: Real Estate Broker INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/03/2007 ADDRESS: 8165 E Crooked Tree Trl, Tucson AZ 85715 DESCRIPTION: I hold an Arizona Real Estate Brokers License SE543238000 and from time to time I use this license to facilitate personal real estate transactions or real estate transactions for my relatives. I do not conduct business with my securities or advisory clients or with non-relatives. 5. FORDRIX ADVISORS POSITION: Sole Proprietor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/10/2010 ADDRESS: 8165 E Crooked Tree Trl, Tucson AZ 85715, United States DESCRIPTION: Occasionally offer insurance products including life insurance and annuities 6. FORDRIX ADVISORS POSITION: Sole Proprietor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 06/10/2010 ADDRESS: 8165 E Crooked Tree Trl, Tucson AZ 85715, United States DESCRIPTION: Offering securities and advisory services through Osaic Wealth Inc.

Exams

• S66 Uniform Combined State Law Examination
  2006-11-28

Designations

• Certified Financial Planner