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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-08 |
| TX | RA | APPROVED | 2024-11-08 |
Branch Locations
280 S. Mangum St. Suite 345, Durham, NC 27701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Durham | NC | 09/2005 | 11/2020 |
| Securities America, Inc. | Durham | NC | 11/2020 | Present |
| Arbor Point Advisors | Durham | NC | 11/2020 | 11/2024 |
| Osaic Advisory Services, Llc | Atlanta | GA | 11/2024 | Present |
**APA POSITION: advisor NATURE: Advisory APA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 08/03/1993 ADDRESS: 2525 Meridian Parkway, Suite 60, Durham NC 27713 DESCRIPTION: plan to offer advisory services to clients **INSURANCE SALES POSITION: advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/03/1993 ADDRESS: 2525 Meridian Parkway, Suite 60, Durham NC 27713 DESCRIPTION: Investments within VUL sub-accounts **COMMERCIAL REAL ESTATE POSITION: owner NATURE: ownership of commercial real estate, 108-B West Dr., Atlantic Beach, NC 28512 (satellite office of Gaulden & Associates) INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 08/01/2017 ADDRESS: 108-B West Dr., Atlantic Beach NC 28512 DESCRIPTION: satellite office for working with clients **DBA - Gaulden & Associates
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-07-02 |
| S65 | Uniform Investment Adviser Law Examination | 1993-07-02 |
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