Phillip Leung Wong

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

Authority	Category	Status	Date
RI	RA	APPROVED	2021-08-06
NM	RA	APPROVED	2018-03-05
IN	RA	APPROVED	2016-03-02
TX	RA	APPROVED_RES	2014-06-10
DC	RA	APPROVED	2014-04-08
MD	RA	APPROVED	2012-03-19
FL	RA	APPROVED	2012-02-01
NJ	RA	APPROVED	2012-02-01
NC	RA	APPROVED	2012-02-01
CT	RA	APPROVED	2012-01-31
IL	RA	APPROVED	2012-01-31
ME	RA	APPROVED	2012-01-31
NH	RA	APPROVED	2012-01-31
VA	RA	APPROVED	2012-01-31
MA	RA	APPROVED	2005-06-30

RI RA
APPROVED

Since 2021-08-06
NM RA
APPROVED

Since 2018-03-05
IN RA
APPROVED

Since 2016-03-02
TX RA
APPROVED_RES

Since 2014-06-10
DC RA
APPROVED

Since 2014-04-08
MD RA
APPROVED

Since 2012-03-19
FL RA
APPROVED

Since 2012-02-01
NJ RA
APPROVED

Since 2012-02-01
NC RA
APPROVED

Since 2012-02-01
CT RA
APPROVED

Since 2012-01-31
IL RA
APPROVED

Since 2012-01-31
ME RA
APPROVED

Since 2012-01-31
NH RA
APPROVED

Since 2012-01-31
VA RA
APPROVED

Since 2012-01-31
MA RA
APPROVED

Since 2005-06-30

Branch Locations

286 Boston Post Road, Wayland, MA 01778 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Osaic Wealth, Inc.	Wayland	MA	03/2013	Present

03/2013 → Present

Osaic Wealth, Inc.

Wayland, MA

Other Businesses

1. INVESTMENT ADVISORY BUSINESS THRU ROYAL ALLIANCE CORPORTATE REGISTRATION. 2. BOSTON WEALTH MGT. POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 04/15/2005 ADDRESS: 286 Boston Post Road, Wayland MA 01778, United States DESCRIPTION: to provide life, D.I, LTC, Annuity and Property/Casualty insurance to clients

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-06-28
S63	Uniform Securities Agent State Law Examination	1995-07-24

S66 Uniform Combined State Law Examination

2005-06-28
S63 Uniform Securities Agent State Law Examination

1995-07-24

Other Names

Phillip L Wong

View on SEC IAPD