Colleen Smith

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
MD	RA	APPROVED	2025-04-21

MD RA
APPROVED

Since 2025-04-21

Branch Locations

Brunswick, MD • United States

435 Lancaster Street Suite 358, Leominster, MA 01453 • 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
Kramer Financial Llc	Frederick	MD	03/2016	08/2023
Fsc Securities Corporation	Frederick	MD	11/2022	08/2023
Morgan Stanley	Frederick	MD	08/2023	11/2023
Purple Communications	Austin	TX	05/2023	Present
Osaic Wealth, Inc.	Brunswick	MD	04/2025	Present

03/2016 → 08/2023

Kramer Financial Llc

Frederick, MD
11/2022 → 08/2023

Fsc Securities Corporation

Frederick, MD
08/2023 → 11/2023

Morgan Stanley

Frederick, MD
05/2023 → Present

Purple Communications

Austin, TX
04/2025 → Present

Osaic Wealth, Inc.

Brunswick, MD

Previous Registrations

2023-11-08 → 2023-11-22

Morgan Stanley

Mclean, VA

Frederick, MD

Other Businesses

1. 567528- Colleen Smith; Investment related-No; Brunswick, Maryland; Other; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2018; During business hours: 0; After business hours: 1; Administrative: Customer Service

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-08

S66 Uniform Combined State Law Examination

2023-11-08

Other Names

Colleen Dottellis

View on SEC IAPD