Lisa Marie Valerio

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

• 10/2008 → 10/2017
  National Planning Corporation
  Santa Monica, CA
• 10/2017 → Present
  Osaic Wealth, Inc.
  Milford, CT

Previous Registrations

• 2010-10-12 → 2017-10-18
  National Planning Corporation
  Wallingford, CT
  Milford, CT
  Milford, CT

Other Businesses

1. VALERIO FINANCIAL GROUP POSITION: Insurance Producer (Life/ Health Agent) NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 10/01/2008 ADDRESS: 200 Platt Lane, Milford CT 06461, United States DESCRIPTION: Help educate prospects on a variety of insurance products, provide insights as to the particular products that may suit their protection objectives and act as their agent to provide ongoing service for contracts we establish. 2. MILFORD REGIONAL CHAMBER OF COMMERCE - WMRG POSITION: Member NATURE: "The Chamber operates as a 501C6 / Not-for-profit. The Milford Chamber of Commerce is a business organization whose mission is to enhance business opportunity, empower its members and influence positive economic growth. The Milford Chamber is a member driven organization and a principal advocate for the business community. The strength of the Chamber is its diversity and quality of both large and small members." INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2016 ADDRESS: 5 Broad Street, Milford CT 06460, United States DESCRIPTION: I am a member of one of the leads groups. The Wednesday Morning Leads Group (WMRG) is simply a network of local business owners that get together to brain share, discuss business opportunities and work as an extended network that we can refer people to when services are requested. 3. VALERIO TAX EDGE POSITION: Owner/ Tax Preparer NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 90 START DATE: 11/01/2020 ADDRESS: 200 Platt Lane, Milford CT 06461, United States DESCRIPTION: Tax Preparation, Small Business Bookkeeping, Tax Mitigation Strategy Consultations 4.POSITION: Power of Attorney NATURE: n/a personal INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 200 Platt Lane, Milford CT 06461, United States DESCRIPTION: I have power of attorney authorization for both my parents and husband's financial matters should any of them become incapacitated or need for me to step in on their behalf. 5. NETWORK OF EXECUTIVE WOMEN POSITION: Member NATURE: Organization of female entrepreneurs and leaders in business that network together to help promote women's forward career progress via mutual support as well as scholarship program funded by fundraising activities of the organization. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/05/2025 ADDRESS: P.O. Box 3171, Milford CT 06460, United States DESCRIPTION: Volunteer at events as needed and attend monthly luncheons.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-05-24
• S63 Uniform Securities Agent State Law Examination
  2008-10-23

Other Names

• Lisa Valerio