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Osaic Wealth, Inc. CRD 23131
$235B regulatory AUM 56,660 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2011-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pim Financial Services, Inc. | Oakland | CA | 10/1990 | Present |
| Osaic Wealth, Inc. | New York | NY | 03/2002 | Present |
| Pim Financial Services, Inc | Escondido | CA | 05/2012 | Present |
1. ANDY HAWKEY, INVESTMENT RELATED, 18 CHAMBERS LANE OAKLAND, CA 94611, INSURANCE AGENT, 1989, 1 HR/MO, 0 HRS DURING TRADING, SELLS LIFE INSURANCE 2. CORPORATE RIA, INVESTMENT RELATED, 18 CHAMBERS LANE OAKLAND, CA 94611, INVESTMENT ADVISORY REPRESENTATIVE, 10 HR/MO, 4 HRS DURING TRADING, REVIEW CLIENTS INVESTMENT HOLDINGS AND MAKE RECOMMENDATIONS IN ALIGNMENT WITH THEIR SHORT AND LONG TERM FINANCIAL GOALS.. 3. INSURANCE POSITION: life insurance agent NATURE: As a FINANCIAL PLANNER I sometimes end up obtaining Life Insurance (Fixed, term or WL with LTC benefits) for my clients, INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1989 ADDRESS: 18 cHAMBERS lANE, Oakland CA 94611, United States DESCRIPTION: I work with a AG approved 3rd party AMP Strategies. He is useful in helping me to talk through various ideas that would be most appropriate for my clients. I work with Raymer Malonefor fixed annuities and some life insurance. For no reason in particular, I have done a few more Life and perhaps 2 Fixed Annuitycases in the last year. He feels like a fairly unbiased and extremely knowledgeable 3rd party who is always available to help educate me to the pros, cons, advantages and disadvantages of a certain type of insurance or annuity. 4. EXECUTOR AND TRUSTEE OF ESTATE POSITION: Executor/Trustee NATURE: As a trustee (co-trustee with my sister, Deirdrian Alger) and executor of my parents estate we will becompiling a list of all of their assets to provide the beneficiaries with a summary of their total liquid assets for future distribution. We will also be cleaning, fixing and manageing their home property to prepare it for future rental. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 09/21/2025 ADDRESS: 18 Chambers Lane, OAKLAND CA 94611, United States DESCRIPTION: Obtaining statements since my father's date of death for all of his bank accounts and investment accounts. Submitting all of the legal paperwork required: Current trust, certification of trust, Trustee certification of investment powers, Frank A Samuelsson and Thelma L Samuelsson Will to support executor roles; death certificates, affidavit of death, property appraisal and property tax, State registration of Vehicles, DMV re-registrations, pand c insurance and automobile insurance policies, VA administration documents and ppwrk completion, life insurance and long-term care claims and death benefit payouts. 5. SUCCESSOR TRUSTEE FOR THE RAND PALLOCK TRUST POSITION: executer, and successor trustee NATURE: I have been listed as the executer and eventual successor trustee of my ex-brother in law's trust. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/27/2020 ADDRESS: 523 Pomona Avenue, Albany CA 94706, United States DESCRIPTION: I was made executor of my brother in law's will many years ago. He just drafted a trust 4/27/20 and listed me as successor trustee.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-06-05 |
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