Yisen Cai

Employer firm

Osaic Advisory Services, LLC CRD 171070

$15.5B regulatory AUM 170 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 Advisory Services, Llc

2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2021-10-19
CA	RA	APPROVED	2021-08-13
OK	RA	APPROVED	2021-08-13
SC	RA	APPROVED	2021-08-13
TX	RA	APPROVED	2021-08-13

GA RA
APPROVED

Since 2021-10-19
CA RA
APPROVED

Since 2021-08-13
OK RA
APPROVED

Since 2021-08-13
SC RA
APPROVED

Since 2021-08-13
TX RA
APPROVED

Since 2021-08-13

Branch Locations

Newport Beach, CA • United States

2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • 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
Barnwell Consulting Llc	Atlanta	GA	08/2015	10/2017
Mercer Global Advisors Inc.	Newport Beach	CA	10/2017	08/2021
Triad Hybrid Solutions	Norcross	GA	08/2021	Present

08/2015 → 10/2017

Barnwell Consulting Llc

Atlanta, GA
10/2017 → 08/2021

Mercer Global Advisors Inc.

Newport Beach, CA
08/2021 → Present

Triad Hybrid Solutions

Norcross, GA

Previous Registrations

2017-11-27 → 2021-09-24

Mercer Global Advisors Inc.

Newport Beach, CA

Newport Beach, CA
2013-02-11 → 2015-08-05

Advocacy Wealth Management, Llc

Atlanta, GA

Atlanta, GA
2013-01-04 → 2013-02-14

Certus Investment Advisors, Llc

Charlotte, NC
2012-05-14 → 2012-11-29

Transamerica Financial Advisors, Llc

Alpharetta, GA

Other Businesses

1)William and Wade Wealth;investment related;1050 Crown Pointe Parkway,Suite 500,Atlanta,GA 30338;wealth management;financial advisor;8/13/2021;160 hrs/month;6.5 hrs during trading;manage the asset for the clients 2)Yisen Cai;investment related;1820 Park Newport,Apt 312,Newport Beach,CA 92660;selling and managing life insurance and annuity products based on clients' suitability and needs;owner;10/25/2021;5 hrs/month;.5 hrs during trading;selling and managing life insurance and annuity products based on clients' suitability and needs

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2012-06-22

S63 Uniform Securities Agent State Law Examination

2012-06-22

Designations

Certified Financial Planner

View on SEC IAPD