Richard Allen Ethun

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:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-11-03
CT	RA	APPROVED	2023-11-03
DC	RA	APPROVED	2023-11-03
FL	RA	APPROVED	2023-11-03
IN	RA	APPROVED	2023-11-03
LA	RA	APPROVED	2023-11-03
MA	RA	APPROVED	2023-11-03
NJ	RA	APPROVED	2023-11-03
RI	RA	APPROVED	2023-11-03
TX	RA	APPROVED	2023-11-03

CA RA
APPROVED

Since 2023-11-03
CT RA
APPROVED

Since 2023-11-03
DC RA
APPROVED

Since 2023-11-03
FL RA
APPROVED

Since 2023-11-03
IN RA
APPROVED

Since 2023-11-03
LA RA
APPROVED

Since 2023-11-03
MA RA
APPROVED

Since 2023-11-03
NJ RA
APPROVED

Since 2023-11-03
RI RA
APPROVED

Since 2023-11-03
TX RA
APPROVED

Since 2023-11-03

Branch Locations

Silverado, CA • United States

Bellaire, TX • United States

The Legacy One Group 7314 Reed Dr, Volente, TX 78641 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Fsc Securities Corporation	Houston	TX	02/2009	11/2023
Osaic Wealth, Inc.	Volente	TX	11/2023	Present

02/2009 → 11/2023

Fsc Securities Corporation

Houston, TX
11/2023 → Present

Osaic Wealth, Inc.

Volente, TX

Previous Registrations

2009-02-27 → 2023-11-03

Fsc Securities Corporation

Atlanta, GA

Volente, TX
1996-03-22 → 2009-02-27

Advantage Capital Corporation

Houston, TX

Other Businesses

1. THE LEGACY ONE GROUP , YES , 24 GREENWAY PLAZA, SUITE 1507 HOUSTON, TX 77046 , PARTNER , 2001 , 20 , 20 , INSURANCE PRODUCTS OFFERED TO CLIENTS AS PART OF OVERALL PORTFOLIO. 2. THE LEGACY ONE GROUP , YES , 24 GREENWAY PLAZA, SUITE 1507 HOUSTON, TX 77046 , PARTNER , 2001 , 40 , 40 , ASSET MONITORING 3. ETHUN ADVISORS PLLC POSITION: Sole Owner NATURE: Professional Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 141 START DATE: 01/01/2022 ADDRESS: 7314 Reed Drive, Volente TX 78641, United States DESCRIPTION: Manage client contact to include portfolio reviews, trading, processing client requests.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-07-11
S63	Uniform Securities Agent State Law Examination	1996-03-21

S66 Uniform Combined State Law Examination

2008-07-11
S63 Uniform Securities Agent State Law Examination

1996-03-21

View on SEC IAPD