Shad Roundy

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

• 08/2016 → 02/2021
  Edward Jones
  Saint Louis, MO
• 02/2021 → 09/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Stockton, CA
• 03/2021 → 09/2024
  Bank Of America, N.A.
  Stockton, CA
• 09/2024 → Present
  Osaic Wealth Inc
  Tracy, CA

Previous Registrations

• 2021-02-12 → 2024-09-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Stockton, CA
• 2016-08-19 → 2021-02-16
  Edward Jones
  Tracy, CA
• 2015-10-13 → 2016-09-12
  Cambridge Investment Research Advisors, Inc.
  Logan, UT
• 2015-08-06 → 2015-09-29
  Allegis Investment Advisors, Llc
  Logan, UT
  Idaho Falls, ID
• 2013-06-12 → 2015-07-30
  Edward Jones
  Lahaina, HI
  St Louis, MO
  Honolulu, HI

Other Businesses

1. SHAD ROUNDY - FINANCIAL ADVISOR POSITION: Insurance Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/13/2024 ADDRESS: 2714 Redbridge Road, Tracy CA 95377, United States DESCRIPTION: Will be an appointed agent to sell Life insurance and annuities for various insurance companies. 2.STRATEGIC ASSOCIATES POSITION: Part-time Employee NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 03/17/2026 ADDRESS: 701 S Main St Suite 330, Logan UT 84321, United States DESCRIPTION: Consult with business owners and high-income earners regarding tax mitigation strategies.

Exams

• S66 Uniform Combined State Law Examination
  2013-06-07