Douglas John Rounds

Current Employers

Employment History

• 05/2016 → 11/2018
  Signator Investors, Inc.
  Pierre, SD
• 11/2018 → Present
  Osaic Wealth, Inc.
  Pierre, SD
• 05/2016 → Present
  Rounds Financial Services
  Pierre, SD

Previous Registrations

• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  Pierre, SD
  Rochester, MN
• 2011-11-14 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Pierre, SD
  New Richmond, WI
  Pierre, SD
  Cincinnati, OH
  Rochester, MN

Other Businesses

1) ROUNDS GLOBAL SERVICES LLC POSITION: Owner NATURE: Partnership effective 1/1/2023. A sole proprietor2009 through 2022. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2009 ADDRESS: 224 E Capital Ave, Pierre SD 57501 DESCRIPTION: This entity is used as a pass-through of commissions and to organize business operation expenses and taxes for my financial services activities. Rounds Financial Services is a dba under Rounds Global Services LLC. Rounds Global Services LLC owns the CaMDAR Service Mark. 2) FAMILY FARM POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/13/2021 ADDRESS: 912 Woodridge Dr, Pierre SD 57501 DESCRIPTION: Cash lease of farmland 3) ROUNDS FINANCIAL SERVICES POSITION: IAR NATURE: Securities DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 35 START DATE: 05/16/2016 ADDRESS: 224 E Capitol, Pierre SD 57501 DESCRIPTION: Financial Advisor. This is my work within Osaic Wealth, Inc. 4) PIERRE RIGGS CLASS OF 76 REUNION POSITION: Chairperson NATURE: Non Profit 50th Class Reunion Committee INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2026 ADDRESS: 912 Woodridge Dr, Pierre, SD 57501 SD 57501, United States DESCRIPTION: Assist in the development and execution of a Class Reunion project plan. Seek volunteers for various roles. No involvement with finances. 5) ADVISORY COUNCIL FOR THE OMGA POSITION: Board member NATURE: OMGA is the Oahe Mens Golf Association. This is a volnteer organization that puts together various golfing events at the Hillsview golf course in Pierre SD. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2026 ADDRESS: 4201 HWY 34, Pierre SD 57501, United States DESCRIPTION: Help decide number and types of golfing events that the members would like to participate in. May assist with organizing some of the events. Not involved with any funding.

Exams

• S66 Uniform Combined State Law Examination
  2011-11-03