Steven Vincent Thompson

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

• 05/2002 → 09/2020
  Massmutual
  Springfield, MA
• 05/2002 → 09/2020
  Mml Investors Services, Inc
  Cleveland, OH
• 09/2020 → 09/2023
  Sagepoint Financial, Inc.
  Independence, OH
• 09/2023 → Present
  Osaic Wealth, Inc.
  Independence, OH

Previous Registrations

• 2020-09-24 → 2023-09-01
  Osaic Services, Inc.
  Independence, OH
• 2003-04-25 → 2020-09-24
  Mml Investors Services, Llc
  Cleveland, OH
  Cleveland, OH

Other Businesses

1) STEVEN THOMPSON POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 09/24/2020 ADDRESS: 4700 Rockside Road, Suite 455, Independence OH 44131, United States DESCRIPTION: In addition to investments that I am licensed for - I offer life, disability and long term care products through a brokerage affiliated with my broker dealer. 2) EMPOWER SPORTS POSITION: Board Member NATURE: Nonprofit LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2011 ADDRESS: 3210 Euclid Ave, Cleveland OH 44115, United States DESCRIPTION: A Board member that supports the growth/mission. Discuss/find new opportunities to provide sports to kids with Special Needs. 3) COMMON GOAL FINANCIAL POSITION: Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2020 ADDRESS: 4700 Rockside Rd., Suite 455, Independence OH 44131, United States DESCRIPTION: Financial professional 4) COMMON GOAL FOUNDATION POSITION: Board Member NATURE: Non profit LLC INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 74 Stanridge Rd, Chagrin Falls OH 44022, United States DESCRIPTION: As a Board Member I look for opportunities to support kids/adults with Special Needs in our local community. 5) PERSONAL VRBO RENTAL POSITION: owner of property NATURE: Sole Proprietorship - I own a lake house and decided to rent it during the high season in the summer. Listed on VRBO and guests can book to stay. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2024 ADDRESS: 6569 Lake Road, Madison OH 44057, United States DESCRIPTION: welcome guests when they arrive and check them in. answer emails of renters when they book the house.

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-10-08

Other Names

• Steven V Thompson