Erin Ann Fleming Mccloskey

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2026 → Present
  Osaic Wealth
  Scottsdale, AZ
• 06/2026 → Present
  Osaic Advisory Services
  Atlanta, GA
• 02/2016 → 11/2016
  Dragon Financial Gourp
  San Mateo, CA
• 07/2017 → 12/2017
  Sii
  Redwood City, CA
• 02/2017 → 06/2017
  Matt Grodin Cpa
  San Mateo, CA
• 05/2018 → 11/2018
  Sii - John Hancock
  Lafayette, CA
• 01/2018 → 05/2018
  Matt Grodin Cpa
  San Mateo, CA
• 11/2018 → 05/2019
  Royal Alliance Associates, Inc.
  Lafayette, CA
• 05/2019 → 08/2022
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 05/2019 → 08/2022
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2019 → Present
  Mccloskey Tax Prep
  San Mateo, CA
• 06/2019 → 11/2025
  Serenity Wealth Partner
  San Mateo, CA
• 11/2023 → 07/2025
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 11/2023 → 07/2025
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-11-17 → 2025-11-12
  Cetera Investment Advisers Llc
  San Mateo, CA
• 2019-05-16 → 2022-08-24
  Cetera Investment Advisers Llc
  San Mateo, CA
• 2018-11-02 → 2019-05-17
  Osaic Wealth, Inc.
  Lafayette, CA
• 2018-05-24 → 2018-11-02
  Signator Investors, Inc.
  Lafayette, CA
• 2017-07-12 → 2017-12-19
  Signator Investors, Inc.
  Boston, MA
  Boston, MA
  Redwood City, CA
  Lafayette, CA
• 2016-05-12 → 2017-01-25
  Dragon Financial Group
  San Mateo, CA

Other Businesses

1. MCCLOSKEY TAX PREP POSITION: Owner/Tax Preparer NATURE: Tax preparation and tax filing for individuals and small business INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2018 ADDRESS: 610 9th Avenue, San Mateo CA 94402, United States DESCRIPTION: I am an IRS Enrolled Agent. I am self employed and have no employees or seasonal workers/consultants. I work remotely at home and take meetings online. I have a small (~80 household) book of tax clients. All but one are individual tax clients (US Form 1040) and nearly all are in California. I collect their tax forms and prepare and file their taxes with the IRS and relevant states.

Exams

• S63 Uniform Securities Agent State Law Examination
  2017-08-22
• S65 Uniform Investment Adviser Law Examination
  2015-01-08

Designations

• Certified Financial Planner

Other Names

• Erin Ann Fleming
• Erin Ann Fleming Mccloskey