Douglas C Ritchie

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

• 08/2005 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Seattle, WA
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Seattle, WA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Seattle, WA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Seattle, WA

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Seattle, WA
• 2005-08-17 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  Seattle, WA
• 2003-11-07 → 2005-08-29
  Morgan Stanley Dw Inc.
  Bellevue, WA
• 1999-09-21 → 2003-11-26
  Citigroup Global Markets Inc.
  West Lynwood, WA

Other Businesses

***SECURITES AMERICA ADVISORS POSITION: Advisor NATURE: Advisory - Securities America Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 11/08/2020 ADDRESS: 1037 NE 65th Street, #352, Seattle WA 98115, United States DESCRIPTION: Financial Advisor with your company, Securities America. ***DOUG RITCHIE POSITION: Licensed agent NATURE: Periodic fixed annuity and/or immediate annuity business with insurance companies. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2005 ADDRESS: 1037 NE 65th Street, #352, Seattle WA 98115, United States DESCRIPTION: Periodically I solicit sales of insurance products wherein comissions are paid directly to me rather than submitted through Securities America.This type of business has occured twice since 2012.Insurance business in immediate annuity, and, in fixed annuity was completed with First Eagle Insurance.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-08-04
• S63 Uniform Securities Agent State Law Examination
  1991-01-21

Other Names

• Doug Charles Ritchie