Richard Charles Fanch

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

• 12/2004 → 11/2019
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2005 → 11/2019
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 12/1997 → Present
  Richard C. Fanch Accounting & Tax Services
  Clifton Park, NY
• 11/2019 → 06/2024
  Securities America, Inc.
  Clifton Park, NY
• 11/2019 → 06/2024
  Securities America Advisors
  Clifton Park, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Clifton Park, NY

Previous Registrations

• 2021-04-22 → 2024-06-14
  Securities America Advisors, Inc.
  Clifton Park, NY

Other Businesses

1) RICHARD C. FANCH POSITION: OWNER/AGENT NATURE: INSURANCE AGENT LICENSES, LIFE HEALTH INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 990 ROUTE 146, CLIFTON PARK NY 12065 DESCRIPTION: HAVE IN THE PAST SOLD SOME LIFE INS POLICIES ONLY 2) RICHARD C. FANCH TAX & FINANCIAL POSITION: PROPRIETOR NATURE: TAX PREP AND ACCTG SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 60 START DATE: 01/01/1976 ADDRESS: 990 ROUTE 146, CLIFTON PARK NY 12065 DESCRIPTION: PREPARE TAX RETURNS FOR CLIENTS AND PROVIDE ACCOUNTING ASSISTANCE AS NEEDED 3) RICHARD C. FANCH POSITION: owner NATURE: Residential Rental INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/16/2020 ADDRESS: 14 Killarney Ct, SARATOGA SPRINGS NY 12866, United States DESCRIPTION: Rental of a one family Town home 4) RICHARD C. FANCH TAX & FINANCIAL POSITION: PROPRIETOR NATURE: TAX PREP INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 20 START DATE: 01/01/1976 ADDRESS: 990 ROUTE 146, CLIFTON PARK NY 12065, United States DESCRIPTION: PREPARE TAX RETURNS FOR CLIENTS AND PROVIDE ACCOUNTING ASSISTANCE AS NEEDED

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-10
• S63 Uniform Securities Agent State Law Examination
  1996-01-16

Designations

• Certified Financial Planner