Kevin Rooplall

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:

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

Current Employers

Employment History

• 01/2021 → 09/2021
  Cml Wealth Management, Llc
  Brea, CA
• 01/2013 → 01/2021
  Payden & Rygel
  Los Angeles, CA
• 02/2021 → 09/2021
  Lpl Financial Llc
  Brea, CA
• 09/2021 → 09/2023
  Sagepoint Financial, Inc.
  Newport Beach, CA
• 09/2023 → Present
  Osaic Wealth, Inc.
  Costa Mesa, CA

Previous Registrations

• 2021-09-08 → 2023-09-01
  Osaic Services, Inc.
  Costa Mesa, CA
• 2021-01-21 → 2021-11-08
  Cml Wealth Management, Llc
  Brea, CA

Other Businesses

1) 2021 - REAL ESTATE RENTAL - 2700 CAHUENGA BLVD EAST #2307 LOS ANGELES, CA 90068 - INVESTMENT RELATED - LOS ANGELES, CA 90068 2) Independent Capital Management. POSITION: Agent; NATURE: Insurance Agency; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 80; SECURITIES TRADING HOURS: 32; START DATE: 09/24/2021. ADDRESS: 1401 DOVE STREET, SUITE 430, NEWPORT BEACH, California 92660, United States. DESCRIPTION: We offer our clients, who are also SagePoint clients, asset protection through various types of insurance when appropriate. 3) ICM Lending (Independent Capital Management); POSITION: AgIndependent Contractorent; NATURE: Corporation INVESTMENT RELATED: Yes; NUMBER OF HOURS: 8; SECURITIES TRADING HOURS: 8; START DATE: 09/27/2021. ADDRESS: 39 Forster, Lake Forest, California 92630, United States DESCRIPTION: To provide clients with an option to utilize ICM Lending to originate, refinance, or purchase loans in order to consolidate or lower debt to reduce their overall interest cost and improve their cash flow for the betterment of their overall financial situation relative to their goals.

Exams

• S63 Uniform Securities Agent State Law Examination
  2021-03-04
• S65 Uniform Investment Adviser Law Examination
  2021-01-12

Designations

• Chartered Financial Analyst