Frank Milton Lundy

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

• 07/1991 → Present
  Sbhu
  Columbia, SC
• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Columbia, SC
• 11/2016 → 10/2021
  Wells Fargo Clearing Services, Llc
  Columbia, SC
• 10/2021 → Present
  Osaic Wealth, Inc.
  Columbia, SC

Previous Registrations

• 2005-04-29 → 2021-10-14
  Wells Fargo Clearing Services, Llc
  Columbia, SC
  Columbia, SC
• 1994-02-10 → 2005-05-17
  Citigroup Global Markets Inc.
  Columbia, SC

Other Businesses

1) Capital Partners LLC Position: Managing Director, Sole proprietor; Investment related: Yes; Number of Hours: 160, Number of trading hours: 160 Start Date: 10/1/2021 Address: 3808 Kilbourne Hill Road, Columbia, SC 29205 Description: Columbia Capital Partners, LLC is a DBA to do investment related business through Royal Alliance Associates 2) SUNNY OAKS POSITION: Home Owner NATURE: Sole Proprietorship- rental property INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 46 Jeannine Court, Seabrook SC 29440, United States DESCRIPTION: I have a vacation home that we rent out. Owned by my wife and myself

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-08-23
• S63 Uniform Securities Agent State Law Examination
  1991-09-27