Enrique Felix Cotto

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

• 06/2016 → 02/2021
  Unionbanc Investment Services, Llc
  Glendale, CA
• 02/2021 → 07/2022
  Unemployed
  Humboldt, TN
• 07/2022 → Present
  Advisor Group
  Phoenix, AZ

Previous Registrations

• 2022-07-20 → 2023-09-01
  Osaic Services, Inc.
  Humboldt, TN
  Scottsdale, AZ
• 2016-06-08 → 2021-02-01
  U.S. Bancorp Advisors, Llc
  Glendale, CA
• 2016-02-02 → 2016-06-07
  National Planning Corporation
  El Segundo, CA

Other Businesses

1) Cotto Creations; POSITION: owner; NATURE: Sole Proprietorship for retail business to sell shoes online using a website. The website can be found at cottocreations.net; INVESTMENT RELATED: No; NUMBER OF HOURS: 4; SECURITIES TRADING HOURS: 0; START DATE: 04/03/2023; ADDRESS: 1161 Windy City Road, Humboldt, tn 38343, United States; DESCRIPTION: Duties consist of Website design, research and fill orders..

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-01-15
• S63 Uniform Securities Agent State Law Examination
  2008-07-25