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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-01-19
TX RA APPROVED 2024-01-19
  • NY RA
    APPROVED
    Since 2024-01-19
  • TX RA
    APPROVED
    Since 2024-01-19

Branch Locations

36-01 31St Ave, Astoria, NY 11106 • United States

1615 Northern Blvd Suite 304, Manhasset, NY 11030 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital One Investment Services Melville NY 04/2012 07/2018
Capital One Sharebuilder, Inc. College Point NY 01/2015 07/2018
Sharebuilder 401K Seattle WA 01/2015 Present
Woodbury Financial Services, Inc. Forest Hills NY 07/2018 01/2024
Osaic Wealth, Inc. Manhasset NY 01/2024 Present
  • 04/2012 → 07/2018
    Capital One Investment Services
    Melville, NY
  • 01/2015 → 07/2018
    Capital One Sharebuilder, Inc.
    College Point, NY
  • 01/2015 → Present
    Sharebuilder 401K
    Seattle, WA
  • 07/2018 → 01/2024
    Woodbury Financial Services, Inc.
    Forest Hills, NY
  • 01/2024 → Present
    Manhasset, NY
Previous Registrations
  • 2018-07-11 → 2024-01-19
    Woodbury Financial Services, Inc.
    Manhasset, NY
    New City, NY
    Forest Hills, NY
    Manhasset, NY
  • 2015-01-28 → 2018-07-11
    Capital One Advisors, Llc
    Seattle, WA
    Flushing, NY
    Mclean, VA
  • 2014-12-02 → 2015-01-28
    Capital One Financial Advisors Llc
    College Point, NY
    Melville, NY
Other Businesses

1. CAPITAL WEALTH MANAGERS POSITION: Member NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 1615 Northern Blvd, Suite 304, Manhasset NY 11030, United States DESCRIPTION: Member for paying bills 2. OAKFIELD WEALTH MANAGEMENT GROUP LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/02/2018 ADDRESS: 191 Oakfield Avenue, Dix Hills NY 11746, United States DESCRIPTION: Oakfield Wealth Management LLC is my DBA for securities and fixed insurance business. Additionally, Oakfield Wealth Management receives rental income from 1 sub lease unit 3. THE VERSE SOCIAL CLUB POSITION: President NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/11/2022 ADDRESS: 191 Oakfield Avenue, Dix Hills NY 11746-6327, United States DESCRIPTION: Take part in conference calls 4. OAKFIELD REAL ESTATE HOLDINGS POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/25/2023 ADDRESS: 191 Oakfield avenue, Dix Hills NY 11746, United States DESCRIPTION: End of year accounting for rental property in FL 5. FIS MARKETING POSITION: Contractor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2023 ADDRESS: 1930 Veterans Memorial Highway, Islandia NY 11749, United States DESCRIPTION: Fixed annuity trade payments to Oakfield Wealth Management then disbursed to financial advisors 6. NIL SOLUTIONS POSITION: Founder NATURE: C Corp INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 05/19/2025 ADDRESS: 191 Oakfield Avenue, Dix Hills NY 11746, United States DESCRIPTION: Founder of NILSOLUTIONS having conversations with founding team partners with regard to MVP development. NILSOLUTIONS will promote the protection of digital identity in the age of AI. We are building an end to end cyber security brand protection platform that combines AI detection, live monitoring and automated take down tools in a seamless experience.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-11
S63 Uniform Securities Agent State Law Examination 2010-08-04
  • S66 Uniform Combined State Law Examination
    2013-06-11
  • S63 Uniform Securities Agent State Law Examination
    2010-08-04

View on SEC IAPD

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