Samantha Jean Fleming

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:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2023-09-01
NH	RA	APPROVED	2023-09-01
TX	RA	APPROVED	2023-09-01

MA RA
APPROVED

Since 2023-09-01
NH RA
APPROVED

Since 2023-09-01
TX RA
APPROVED

Since 2023-09-01

Branch Locations

Andover, MA • United States

67 Millbrook St Suite 406 South, Worcester, MA 01606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Sagepoint Financial	Sutton	MA	02/2013	09/2023
Osaic Wealth, Inc.	Worchester	MA	09/2023	Present

02/2013 → 09/2023

Sagepoint Financial

Sutton, MA
09/2023 → Present

Osaic Wealth, Inc.

Worchester, MA

Previous Registrations

2016-07-27 → 2023-09-01

Osaic Services, Inc.

Worchester, MA

Other Businesses

1. SAMANTHA SCOTT DBA SCOTT ADVISORS; POSITION: FINANCIAL ADVISOR AND RECRUITER; NATURE: DBA; INVESTMENT RELATED: NO; NUMBER OF HOURS: 1; SECURITIES TRADING HOURS: 0; START DATE: 04/01/2015; ADDRESS: 550 COCHITUATE RD, SUITE 25, FRAMINGHAM MA 01701; DESCRIPTION: THIS DBA IS STRICTLY USED FOR BANKING PURPOSES. I PAY MY STAFF FROM A BUSINESS CHECKING ACCOUNT WITH THE TITLE "SAMANTHA SCOTT DBA SCOTT ADVISORS". 2. SCOTT ADVISORY GROUP POSITION: FINANCIAL ADVISOR NATURE: S INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/01/2018 ADDRESS: 550 COCHITUATE RD, SUITE 25, FRAMINGHAM MA 01701, United States DESCRIPTION: FINANCIAL PLANNING SERVICES 3. SAMANTHA SCOTT DBA SCOTT ADVISORS POSITION: Financial Advisor and Recruiter NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2015 ADDRESS: 550 Cochituate Rd, Suite 25, Framingham MA 01701, United States DESCRIPTION: This DBA is strictly used for banking purposes. I pay my staff from a business checking account with the title "Samantha Scott DBA Scott Advisors".

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-05-12
S63	Uniform Securities Agent State Law Examination	2012-04-19

S66 Uniform Combined State Law Examination

2016-05-12
S63 Uniform Securities Agent State Law Examination

2012-04-19

Other Names

Samantha Scott
Samantha Jean Scott

View on SEC IAPD