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Current Employers
Empire Retirement Plans, Llc

130 Lomond Ct, Utica, NY 13502 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-03-26
  • NY RA
    APPROVED
    Since 2025-03-26

Branch Locations

130 Lomond Ct, Utica, NY 13502 • United States

133 Business Park Drive, Utica, NY 13502 • United States

Paradigm Consulting, Inc.

133 Business Park Drive, Utica, NY 13502 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-01-31
  • NY RA
    APPROVED
    Since 2025-01-31

Branch Locations

133 Business Park Drive, Utica, NY 13502 • United States

Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-26
FL RA APPROVED 2019-12-17
  • NY RA
    APPROVED
    Since 2021-04-26
  • FL RA
    APPROVED
    Since 2019-12-17

Branch Locations

133 Business Park Drive, Utica, NY 13502 • 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
OrganizationCityStateFromTo
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
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-22
  • S66 Uniform Combined State Law Examination
    2013-03-22
Other Names
  • Sarah A Flisnik
  • Sarah Anne Flisnik

View on SEC IAPD

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