Ashish K Patel

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

• 05/2009 → Present
  Chase Investment Services Corp
  Houston, TX
• 05/2010 → 07/2018
  Capital One Investments Services Llc
  Sugarland, TX
• 01/2015 → 07/2018
  Capital One Sharebuilder, Inc.
  Houston, TX
• 01/2015 → Present
  Sharebuilder 401K
  Seattle, WA
• 07/2018 → 01/2024
  Woodbury Financial Services, Inc.
  Oakdale, MN
• 07/2018 → Present
  Woodbury Financial Services, Inc.
  Oakdale, MN
• 01/2024 → Present
  Osaic Wealth, Inc.
  Houston, TX

Previous Registrations

• 2018-07-11 → 2024-01-19
  Woodbury Financial Services, Inc.
  Houston, TX
  Oakdale, MN
• 2015-01-28 → 2018-07-11
  Capital One Advisors, Llc
  Seattle, WA
  Sugar Land, TX
  Mclean, VA
• 2010-09-02 → 2015-01-28
  Capital One Financial Advisors Llc
  Sugar Lane, TX
  Melville, NY
• 2009-05-19 → 2010-05-18
  Chase Investment Services Corp.
  Houston, TX
• 2008-03-17 → 2009-05-11
  Wells Fargo Investments, Llc
  Houston, TX
  Houston, TX
• 2006-07-11 → 2008-03-04
  Wamu Investments, Inc.
  Houston, TX
  Deer Park, TX
  Pasadena, TX
  Pasadena, TX
  Pasadena, TX

Other Businesses

1. ETHOS WEALTH PLANNING, LLC POSITION: Financial Advisor/ President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/12/2018 ADDRESS: 5444 Westheimer Rd Ste 1445, Houston TX 77056, United States DESCRIPTION: Financial Planning for clients including Investments and Insurance.

Exams

• S66 Uniform Combined State Law Examination
  2006-07-05

Designations

• Certified Financial Planner