William Russell Neubauer

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

• 04/2000 → Present
  Richards Benefits & Financial Services
  Beaver Dam, WI
• 01/2013 → 11/2016
  Cetera Advisor Networks Llc
  El Segundo, CA
• 11/2016 → 06/2024
  Securities America Advisors
  Johnson Creek, WI
• 11/2016 → 06/2024
  Securities America Inc.
  Johnson Creek, WI
• 06/2024 → Present
  Osaic Wealth, Inc.
  Johnson Creek, WI

Previous Registrations

• 2016-11-09 → 2024-06-14
  Securities America Advisors, Inc.
  Watertown, WI
  Watertown, WI
  Johnson Creek, WI
• 2010-04-23 → 2016-11-17
  Cetera Wealth Services, Llc
  Minnetonka, MN
  Watertown, WI

Other Businesses

1. DBA- RICHARD BENEFITS & FINANCIAL SERVICES 2. HIGHPOINTE WEALTH MANAGEMENT, INC POSITION: sales and service NATURE: Sale of life, long term care and disability insurance and sale of fixed and equity indexed annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 15 START DATE: 06/01/2019 ADDRESS: 475 Hartwig Blvd, Unit 200, Johnson Creek WI 53038 DESCRIPTION: I help clients identify their needs and recommend products that meet the needs. This takes place as part of fact finding, getting to know the client and what is important to them. 3. HIGHPOINTE WEALTH MANAGEMENT, INC POSITION: Senior Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 02/05/2025 ADDRESS: 475 Hartwig Blvd, Suite 200, Johnson Creek WI 53038, United States DESCRIPTION: Sales of life and long term care insurance and fixed annuities as part of helping clients. Needs are developed through fact finding process.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-05-13
• S63 Uniform Securities Agent State Law Examination
  1995-09-01