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130 Lomond Ct, Utica, NY 13502 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-26 |
Branch Locations
130 Lomond Ct, Utica, NY 13502 • United States
133 Business Park Drive, Utica, NY 13502 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-31 |
Branch Locations
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-26 |
| FL | RA | APPROVED | 2019-12-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Utica | NY | 06/2012 | Present |
| Paradigm Consulting Inc. | Utica | NY | 06/2012 | Present |
| Empire Retirement Plans, Llc | Utica | NY | 01/2025 | Present |
1. ABRAHAM HOUSE POSITION: Board Member NATURE: non profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/27/2024 ADDRESS: 1203 Kemble Street, Utica NY 13501, United States DESCRIPTION: Board member to organization 2.OSAIC WEALTH INC., POSITION: REGISTERED REPRESENTATIVE ADDRESS: ONE WORLD FINANCIAL CENTER, 200 LIBERTY STREET, 15TH FLOOR, NEW YORK, NY 10281. NATURE: INVESTMENT RELATED. NUMBER OF HOURS: 40 START DATE: 06/2012 DESCRIPTION: RECOMMEND AND MONITOR INVESTMENTS FOR CLIENTS. 3. EMPIRE RETIREMENT PLANS POSITION: Retirement Plan Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2025 ADDRESS: 130 Lomond Court, Utica NY 13502, United States DESCRIPTION: Provide investment advisory services for retirement plans under an independent RIA 4. PARADIGM CONSULTING, INC. POSITION: Investment Advisor Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/17/2015 ADDRESS: 133 Business Park Drive, Utica NY 13502, United States DESCRIPTION: I meet with employees to discuss plan provisions and review investment options during enrollment meetings. I speak with plan participants regarding withdraw options, investments, salary deferral calculations and any other retirement plan related questions they may have. I also interact with the plan sponsor to assist with daily plan maintenance. I prepare quarterly monitoring reports and may attend Committee meetings.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-22 |
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