Herbert Wilmer Findeisen

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

• 11/2011 → Present
  Sagepoint
  Mount Airy, MD
• 09/2023 → Present
  Osaic Wealth, Inc.
  Mount Airy, MD

Previous Registrations

• 2011-11-15 → 2023-09-01
  Osaic Services, Inc.
  Chesterfield, MO
  Mount Airy, MD
• 2007-11-26 → 2011-11-16
  Next Financial Group, Inc.
  Houston, TX
  Mt. Airy, MD
• 2002-04-17 → 2007-11-27
  Commonwealth Financial Network
  Fallston, MD

Other Businesses

1) HERBERT FINDEISEN (SELF); NOTARY PUBLIC; .001% TIME SPENT; CONTINUOUS TERM; NO COMP 2) BAKER STREET FINANCIAL SERVICES LLC (DBA); INVESTMENTS & INSURANCE; ACTIVE OWNER; 100% TIME SPENT; 100% OWNERSHIP; CONTINUOUS TERM; $60K/YR COMP

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-07
• S63 Uniform Securities Agent State Law Examination
  1995-11-02

Other Names

• Herbert Wilmer Findeisen