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Osaic Advisory Services, LLC CRD 171070
$15.5B regulatory AUM 170 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-12 |
| CO | RA | APPROVED | 2024-10-12 |
| NC | RA | APPROVED | 2024-10-12 |
Branch Locations
4700 S. Syracuse Street Suite 830, Denver, CO 80237 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Portfolios | Denver | CO | 03/2006 | 10/2024 |
| Osaic Advisory Services | Atlanta | GA | 10/2024 | Present |
| Osaic Wealth, Inc. | Scottsdale | AZ | 10/2024 | Present |
ROTARY OF DENVER SE - VOLUNTERR SERVICE, NO COMPENSATION, 8HRS PER MONTH, 6HRS DURING MARKET HRS. CONSULTING - CONSULTS CLIENTS ON NON-SECURITIES, DOL ISSUES. 5-10 HOURS DEVOTED PER MONTH, ZERO DURING MARKET HOURS. SHRM - SOCIETY FOR HUMAN RESOURCES MANAGEMENT - NETWORKING PURPOSES. NOT SECURITIES RELATED. 4 HOURS DEVOTED PER MONTH, 2 HOURS DEVOTED PER MONTH DURING MARKET HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 2006-02-09 |
| S65 | Uniform Investment Adviser Law Examination | 2003-04-16 |
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