Neal Daniel Roberts

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
FL	RA	APPROVED	2025-09-12
NC	RA	APPROVED	2023-10-09
TX	RA	APPROVED_RES	2023-09-01
WI	RA	APPROVED	2023-09-01

FL RA
APPROVED

Since 2025-09-12
NC RA
APPROVED

Since 2023-10-09
TX RA
APPROVED_RES

Since 2023-09-01
WI RA
APPROVED

Since 2023-09-01

Branch Locations

Englewood, FL • United States

W6110 Aerotech Drive Suite A, Appleton, WI 54914 • 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
Murray & Roberts Cpa Firm	Appleton	WI	01/2006	Present
Sagepoint Financial, Inc.	Phoenix	AZ	01/2006	09/2023
Kevin M Gustafson Financial, Inc.	Appleton	WI	09/2015	Present
Sagepoint Financial	Appleton	WI	03/2016	09/2023
Osaic Wealth, Inc.	Appleton	WI	09/2023	Present

01/2006 → Present

Murray & Roberts Cpa Firm

Appleton, WI
01/2006 → 09/2023

Sagepoint Financial, Inc.

Phoenix, AZ
09/2015 → Present

Kevin M Gustafson Financial, Inc.

Appleton, WI
03/2016 → 09/2023

Sagepoint Financial

Appleton, WI
09/2023 → Present

Osaic Wealth, Inc.

Appleton, WI

Previous Registrations

2016-02-19 → 2023-09-01

Osaic Services, Inc.

Appleton, WI

Appleton, WI

Appleton, WI

Appleton, WI

Other Businesses

1. MURRAY & FRANK PROPERTIES, LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2011 ADDRESS: W6110 Aerotech Dr Ste D, Appleton WI 54914, United States DESCRIPTION: Review financial software and occasional minor maintenance. 2. NEAL D ROBERTS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2008 ADDRESS: W6110 Aerotech Dr, Appleton WI 54914, United States DESCRIPTION: SALES OF VARIABLE, FIXED INDEX AND LIFEINSURANCE PRODUCTS 3. MURRAY & ROBERTS CPA FIRM, S.C. POSITION: Employee NATURE: S-Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 01/02/2006 ADDRESS: 119 N McCarthy Rd, Ste A, Appleton WI 54913, United States DESCRIPTION: Individual and corporate tax return preparation, bookkeeping/accounting services for small business owners and tax planning advisory. 4. MURRAY & FRANK PROPERTIES, LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2011 ADDRESS: W6110 Aerotech Dr Ste A, Appleton WI 54914, United States DESCRIPTION: Review financial software and occasional minor maintenance. Coordinate building maintenance with a building manager.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-01-04
S63	Uniform Securities Agent State Law Examination	2004-12-29

S66 Uniform Combined State Law Examination

2016-01-04
S63 Uniform Securities Agent State Law Examination

2004-12-29

View on SEC IAPD