Dennis Frank Grothaus

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

• 09/2002 → 01/2019
  Allstate Insurance Company
  Highland Heights, KY
• 11/2012 → 01/2019
  Grothaus Financial Group Llc
  Edgewood, KY
• 01/2019 → 01/2025
  Lincoln Financial Securities
  California, KY
• 08/2014 → 01/2019
  P&C Agency
  Edgewood, KY
• 01/2025 → Present
  Osaic Wealth, Inc.
  California, KY
• 08/2014 → 01/2019
  Allstate Insurance Company
  Highland Heights, KY

Previous Registrations

• 2019-04-01 → 2025-01-24
  Osaic Fs, Inc.
  California, KY
  California, KY
  Lexington, KY

Other Businesses

1) DENNIS GROTHAUS/GROTHAUS FINANCIAL GROUP LLC 9707 SUMMER HILL RD CALIFORNIA, KY CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: OWNER/AGENT DUTIES: OFFERS ACCIDENT INSURANCE, HEALTH INSURANCE, DISABILITY INSURANCE, INDEXED ANNUITIES, FIXED ANNUITIES, TRADITIONAL LIFE INSURANCE, P&C INSURANCE START DATE: 07/2000 HOURS PER MONTH: 160 HOURS PER MONTH DURING TRADING HOURS: 160 2) GROTHAUS FINANCIAL GROUP, LLC 9707 SUMMIT HILL RD. CALIFORNIA, KY CATEGORY: INSURANCE/LEGAL ENTITY INVESTMENT RELATED: YES TITLE: OWNER DUTIES: OFFERS ACCIDENT INSURANCE, HEALTH INSURANCE, COMMISSION-BASED GROUP BENEFITS, DISABILITY INSURANCE, P&C INSURANCE START DATE: 01/2021 HOURS PER MONTH: 4 HOURS PER MONTH DURING TRADING HOURS: 1 3. DENNIS GROTHAUS/GROTHAUS FINANCIAL GROUP LLC POSITION: Agent,Owner NATURE: Sole Proprietorship dba Grothaus Financial Group. Goal is to prospect P&C insurance customers to become clients of Wealth Management, essentially using existing P&C customers as a new business prospecting activity for Lincoln/Osaic Wealth Management, making me a 1-stop shop for all their insurance and investment needs. I spend very little time on Property and Casualty, (maybe 2 hours per week) and the book of business is small. My primary emphasis is on Financial Services with Lincoln/Osaic. INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2000 ADDRESS: 9707 Summer Hill Rd, California KY 41007, United States DESCRIPTION: Continue to operate and existing customers as needed. I am not prospecting for new business but will accept new customers that contact me. My primary focus and goals is to build my Wealth Management business with Lincoln/Osaic Wealth Management.

Exams

• S66 Uniform Combined State Law Examination
  2000-04-28

Other Names

• Dennis F Grothaus