Michael Layne Wilkerson

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

• 03/2012 → 09/2018
  Commonwealth Financial Network
  Waltham, MA
• 09/2018 → 03/2023
  Lpl Financial Llc
  Frankfort, KY
• 03/2023 → 06/2024
  Securities America, Inc.
  Frankfort, KY
• 03/2023 → 11/2024
  Arbor Point Advisors
  Frankfort, KY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Frankfort, KY
• 11/2024 → Present
  Osaic Advisory Services, Llc
  Atlanta, GA

Previous Registrations

• 2023-03-24 → 2024-11-08
  Arbor Point Advisors
  Frankfort, KY
• 2018-09-06 → 2023-03-30
  Lpl Financial Llc
  Frankfort, KY
  Frankfort, KY
  Holland, MI
• 2012-03-06 → 2018-09-10
  Commonwealth Financial Network
  Waltham, MA
  Frankfort, KY
  Louisville, KY
• 2006-12-04 → 2012-03-26
  Lpl Financial Llc
  Frankfort, KY
  Frankfort, KY
  Frankfort, KY
  Frankfort, KY
  Frankfort, KY
  Lexington, KY
  Louisville, KY
  Fort Mill, SC
  Louisville, KY
  Frankfort, KY
  Frankfort, KY

Other Businesses

1. KY LEAGUE OF CITIES INV POOL POS: Board Member NATURE: Serve on the Board of Trustees of KY League of Cities Inv Pool INV REL Yes #HRS 1 SEC TRADE HRS 1 DATE: 1/1/24 ADD: 100 E Vine St Ste 800, Lexington KY 40507 DESC: Bd mbrs have following roles& responsibilities:1.Ethical&Fiduciary Responsibilities: Bd mbrs ensure that KLCIP operates in ethical&fiduciary manner on behalf of program participants. Provide governance,stewardship,&leadership as it relates to implementation of program. 2.No Investment Advice: bd mbrs do not provide investment advice in relation to investment decisions for individual participants or pooled investment apparatus. PNC handles investment advice given to participants. 3.Input on Investment Program Offerings: bd mbrs may be asked to provide input to usefulness of current or future investment program offerings, ensuring we are offering options that meet needs. Bd does not make decisions on individual investments selected by PNC in each of program offerings or day-to-day mgmt of funds. 2.INSURANCE POS:Finan Advisor NAT: Life and Long-term care sales as part of the financial planning process with clients INV REL: Yes #HRS: 2 SEC TRADING HRS: 2 DATE: 4/01/11 ADD:307 Washington St, Frankfort KY 40601 DESC:Life&LTC sales as part of finan planning process with clients. Disclosed because I receive ongoing trials from past ins. sales 3.COLLECTIVE CAPITAL LLC POS:Mbr/Owner NAT: Rental Real Estate INV REL: No #HRS: 1 SEC TRADING HRS: 1 DATE: 2/01/13 ADD:510 Ann Street, Frankfort KY 40601 DESC:Spouse& I own 7 rental properties in LLC. My activities are min., usually involve making decisions, as spouse handles any day to day operations 4. CAPITAL FINANCIAL ADVISORS LLC POSITION: Owner/Member NATURE: LLC that was initially created to be our DBA but is now just a pass-through entity. CTM Wealth Advisors is the DBA held out to the public as a marketing name. Only members are Michael Layne Wilkerson and James Clouse. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 02/24/2023 ADDRESS: 421 W. Main Street, Frankfort KY 40601, United States DESCRIPTION: Investment, financial planning, and insurance as part of my work with clients. 5. CTM WEALTH ADVISORS POSITION: Managing Partner/Financial Adivsor NATURE: CTM Wealth Advisors is the DBA marketing name that our firm uses locally. It has already been disclosed as a marketing name. INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 02/01/2024 ADDRESS: 421 W. Main Street, Frankfort KY 40601, United States DESCRIPTION: CTM Wealth Advisors is the DBA our company has adopted to market our financial services. 6.MAYOR OF FRANKFORT, KY POS:Mayor NATURE:Mayor,KY INVESTMENT RELATED: No #HRS:100 SEC TRADING HRS:50 START DATE:01/01/2021 ADD:215 W 2nd St,Frankfort KY 40601 DESC:Serve as leader of 5 member board. We make executive policy decisions for city,which are carried out by full-time city mgr who oversees day to day operations as chief admin. officer

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-05-10
• S63 Uniform Securities Agent State Law Examination
  1998-11-10

Designations

• Certified Financial Planner