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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 |
|---|---|---|---|
| MT | RA | APPROVED | 2024-11-08 |
| TX | RA | APPROVED | 2024-11-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CA | 01/2013 | 08/2019 |
| Kms Financial Services, Inc. | Seattle | WA | 08/2019 | 11/2020 |
| Securities America, Inc. | Deer Lodge | MT | 11/2020 | 06/2024 |
| Securities America Advisors, Inc. | Deer Lodge | MT | 11/2020 | 06/2024 |
| Arbor Point Advisors | Deer Lodge | MT | 11/2020 | 11/2024 |
| Osaic Wealth, Inc. | Deer Lodge | MT | 06/2024 | Present |
| Osaic Advisory Services, Llc | Atlanta | GA | 11/2024 | Present |
1. WESTERN UNITED LIFE ASSURANCE POSITION: Servicing existing client contracts NATURE: I have legacy service fees being paid to me by Western United Life Assurance out of Spokane WA. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2013 ADDRESS: 929 W. Sprague Ave, Spokane WA 99201 DESCRIPTION: I receive legacy service fees on prior fixed index annuity contracts from prior years. 2. DWIGHT O'HARA RENTAL PROPERTY POSITION: Owner of the property NATURE: Owner of rental property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2008 ADDRESS: 608 4th Street, Deer Lodge MT 59722 DESCRIPTION: I own a residential building that I rent. 3. ALLILANZ POSITION: I service my legacy accounts for Allianz NATURE: Allianz Life agent. I have Legacy assets with Allianz that pay me directly on a quarterly basis. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2010 ADDRESS: PO Box 59060, Minneapolis MN 55459 DESCRIPTION: Allianz pays me annual fees for servicing legacy accounts held from the past 10 years. 4. DWIGHT O'HARA INVESTMENT SERVICES, INC POSITION: Investment Advisor NATURE: Investments and Advisory business INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/14/2000 ADDRESS: 610 4th Street, Deer Lodge MT 59722, United States DESCRIPTION: I am registered rep with Osaic Wealth offering securities related investment services 5. KOHRS LIBRARY FOUNDATION POSITION: Manage an investment portfolio of blue chip stocks NATURE: Director of a 501C3 foundation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2010 ADDRESS: 501 Missouri Ave, Deer Lodge MT 59722 DESCRIPTION: The board of directors of this foundation manages an investment portfolio. I invest as instructed by the board of directors. No fees were charged on this portfolio. However, changing my affiliation to SAI will require the addition of a fee charge going forward. 6. FOUNDATION FOR THE DIOCESE OF HELENA POSITION: Director NATURE: Not for profit foundation for the Catholic Diocese based out of Helena MT. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 2 START DATE: 10/11/2024 ADDRESS: PO Box 7051, Helena MT 59624, United States DESCRIPTION: As a Director I am one of 10 Trustees that monitor and supervise the activities of a independent third party investment firm as it invests the Diocese's accumulated endowment funds.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-02-17 |
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