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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

AuthorityCategoryStatusDate
CA RA APPROVED 2024-08-05
  • CA RA
    APPROVED
    Since 2024-08-05

Branch Locations

Mission Viejo, CA • United States

5932 Bolsa Avenue Suite 107, Huntington Beach, CA 92649 • 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
Capital Resources Huntington Beach CA 08/2020 Present
Costco Laguna Niguel CA 10/2019 11/2021
Cal State Fullerton University Fullerton CA 08/2014 06/2020
Compulocks Brands Huntington Beach CA 08/2017 01/2018
Osaic Huntington Beach CA 08/2020 Present
  • 08/2020 → Present
    Capital Resources
    Huntington Beach, CA
  • 10/2019 → 11/2021
    Costco
    Laguna Niguel, CA
  • 08/2014 → 06/2020
    Cal State Fullerton University
    Fullerton, CA
  • 08/2017 → 01/2018
    Compulocks Brands
    Huntington Beach, CA
  • 08/2020 → Present
    Osaic
    Huntington Beach, CA
Other Businesses

1. CAPITAL RESOURCES POSITION: Financial Assistant NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 08/24/2020 ADDRESS: 550 bolsa Suite 145, Huntington Beach CA 92649, United States DESCRIPTION: Records Research Confirmation of Weekly Schedule Call List Management 2. CAPITAL RESOURCES POSITION: Financial Advisor NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 08/24/2020 ADDRESS: 5932 Bolsa Avenue, Suite 107, Huntington Beach CA 92649, United States DESCRIPTION: Records Research Confirmation of Weekly Schedule Call List Management

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-08-01
S63 Uniform Securities Agent State Law Examination 2021-08-26
  • S65 Uniform Investment Adviser Law Examination
    2024-08-01
  • S63 Uniform Securities Agent State Law Examination
    2021-08-26

View on SEC IAPD

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