Robert John Broadhead

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

• 09/2015 → 03/2017
  Metlife Securities
  Middleton, WI
• 07/2016 → 11/2019
  Mass Mutual Life Insurance Company
  Madison, WI
• 03/2017 → 12/2019
  Mml Investors Services, Llc
  Madison, WI
• 12/2019 → 01/2024
  Woodbury Financial Services Inc
  Madison, WI
• 01/2024 → Present
  Osaic Wealth, Inc.
  Fitchburg, WI

Previous Registrations

• 2019-12-06 → 2024-01-19
  Woodbury Financial Services, Inc.
  Fitchburg, WI
• 2017-03-25 → 2019-12-11
  Mml Investors Services, Llc
  Madison, WI
• 2015-10-06 → 2017-03-25
  Msi Financial Services, Inc.
  Middleton, WI
• 2014-04-30 → 2015-10-07
  Oneamerica Securities, Inc.
  Saint Charles, IL
  Brooklyn, WI
• 2012-03-27 → 2012-11-30
  Woodbury Financial Services, Inc.
  Verona, WI

Other Businesses

1. ROBERT BROADHEAD CONSULTING POSITION: Consultant NATURE: I very occasionally perform computer technical support for a couple of small businesses that I have a prior relationship with. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2010 ADDRESS: 4592 W Rutland Rd, Brooklyn WI 53521, United States DESCRIPTION: Computer workstation and network administration and/or troubleshooting. 2. ROBERT BROADHEAD POSITION: Servicing/Selling Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2010 ADDRESS: 4592 W Rutland Rd, Brooklyn WI 53521, United States DESCRIPTION: Servicing policies sold and placed with other direct insurance companies and/or BGA's. 3. ROBERT BROADHEAD POSITION: Elder NATURE: Corporation - 501-C-3 Church INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 02/26/2019 ADDRESS: 201 S Main St, Verona WI 53593, United States DESCRIPTION: Attend board meetings as well as a monthly luncheon to plan teaching and ministry direction for Memorial Baptist Church. 4. MEMORIAL BAPTIST CHURCH POSITION: Elder NATURE: A Non Profit 501 (c)(3) Corporation, Church INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 02/26/2019 ADDRESS: 201 S Main St, Verona WI 53593, United States DESCRIPTION: Attend Elder planning meetings twice monthly to discuss and plan the teaching and preaching ministry direction for Memorial Baptist Church. 5. ROBERT J BROADHEAD POSITION: Producer NATURE: Insurance Agency INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 06/10/2021 ADDRESS: 2960 Triverton Pike Dr, Suite 100, Fitchburg WI 53711, United States DESCRIPTION: Service and sell fixed life insurance products 6. SALT INVESTMENT ADVISORS POSITION: Investment Advisor/Producer NATURE: I have set up an LLC. to work under. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 120 START DATE: 01/27/2026 ADDRESS: 4592 West Rutland Road, Brooklyn WI 53521, United States DESCRIPTION: Sale of as well as administration of investments, insurances and financial/investment advice.

Exams

• S66 Uniform Combined State Law Examination
  2012-03-01
• S63 Uniform Securities Agent State Law Examination
  2010-01-19

Other Names

• Robb John Broadhead