John Randall Findley

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

• 01/2025 → Present
  Osaic Wealth, Inc.
  Irvine, CA
• 10/1989 → 01/2025
  Lincoln Financial Advisors Corporation
  San Ramon, CA

Previous Registrations

• 1999-07-12 → 2025-01-24
  Osaic Fa, Inc.
  Walnut Creek, CA
  San Ramon, CA
  Irvine, CA
  Walnut Creek, CA
  San Mateo, CA
  San Ramon, CA
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

1) JOHN R. FINDLEY 3000 EXECUTIVE PARKWAY SUITE 400 SAN RAMON, CA, 94583 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERING FIXED/INDEXED ANNUITIES AND TRADITIONAL LIFE INSURANCE. START DATE: 01/01/2009 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 1 2) JOHN R. FINDLEY 3000 EXECUTIVE PARKWAY P.O. BOX 5154, SUITE 400 SAN RAMON, CA 94583 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERS LONG-TERM CARE INSURANCE. START DATE: 09/2011 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 1 3)MOMENTUM VALUE PARTNERS LLC 17015 N. SCOTTSDALE RD. STE. 125 SCOTTSDALE, AZ 85255 CATEGORY: LEGAL ENTITY/INSURANCE INVESTMENT RELATED: YES TITLE: OWNER/AGENT DUTIES: LEGAL ENTITY THROUGH WHICH PRACTICE WILL BE MANAGED AND FIXED INSURANCE PRODUCTS OFFERED AND SERVICED. FIXED PRODUCTS INCLUDE FIXED AND INDEXED ANNUITIES, LONG-TERM CARE, AND TRADITIONAL LIFE INSURANCE. START DATE: 12/2/24 HOURS PER MONTH: 3 HOURS PER MONTH DURING TRADING HOURS: 3 4) FINDLEY AND ASSOCIATES INC. POSITION: Owner NATURE: S. Corp. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/02/2020 ADDRESS: 17105 N. Scottsdale Rd. suite 125,, Scottsdale AZ 85255, United States DESCRIPTION: I oversee our total business operations and pay for personal staff. 5) Successor Trustee for Zonca Family Trust POSITION: Trustee NATURE: Family Trust only acting as successor potentially in the future. No current responsibilities INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/30/2018 DESCRIPTION: My responsibilities would include oversight of financial estate for Chris and Joyce Zonca. Necessary distributions for Catie Zonca, for Education, Welfare, Maintenance and support.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-29
• S63 Uniform Securities Agent State Law Examination
  1995-03-22