Richard J. Smith

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2025-01-24

PA RA
APPROVED

Since 2025-01-24

Branch Locations

4099 William Penn Highway Suite 710, Monroeville, PA 15146 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Lincoln Financial Advisors	Oakmont	PA	11/2015	01/2025
Osaic Wealth, Inc.	Oakmont	PA	01/2025	Present

11/2015 → 01/2025

Lincoln Financial Advisors

Oakmont, PA
01/2025 → Present

Osaic Wealth, Inc.

Oakmont, PA

Previous Registrations

2015-11-20 → 2025-01-24

Osaic Fa, Inc.

Pittsburgh, PA

Oakmont, PA
2011-10-21 → 2015-11-25

Msi Financial Services, Inc.

Delmont, PA

Other Businesses

Richard J Smith Jr. 508 Allegheny River Blvd., Suite 201, Oakmont PA 15139, insurance, investment related, agent, Offers accident and health insurance, disability insurance, equity-indexed annuities, fixed annuities life settlements and traditional life insurance, start date 11/20/2015 working 10 HPM all during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-10-14
S63	Uniform Securities Agent State Law Examination	2009-03-07

S65 Uniform Investment Adviser Law Examination

2011-10-14
S63 Uniform Securities Agent State Law Examination

2009-03-07

Other Names

Richard J. Smith
Richard J Smith

View on SEC IAPD

Current Employers

Osaic Wealth, Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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