Samantha L Duffy

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

• 03/2014 → 10/2021
  William J. Stroyne Financial Services
  Pittsburgh, PA
• 10/2021 → 07/2022
  Securities America, Inc.
  Pittsburgh, PA
• 07/2022 → 06/2024
  Securities America Advisors
  Pittsburgh, PA
• 06/2024 → 01/2026
  Osaic Wealth, Inc.
  Pittsburgh, PA
• 05/2026 → Present
  Osaic Wealth, Inc.
  Baden, PA
• 01/2026 → 04/2026
  Unemployed
  Pittsburgh, PA

Previous Registrations

• 2024-06-14 → 2026-01-07
  Osaic Wealth, Inc.
  Pittsburgh, PA
• 2022-07-12 → 2024-06-14
  Securities America Advisors, Inc.
  Pittsburgh, PA

Other Businesses

1. SAMANTHA DUFFY - SOLE PROPRIETOR POSITION: Sole Proprietor, Professional Musician NATURE: Sole proprietor, professional musician, educator and music instructor, symphony orchestra performer, and community builder INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 06/05/2000 ADDRESS: 212 Bradford Park Rd, Baden PA 15005, United States DESCRIPTION: On occasion, I provide private music instruction, perform professionally on violin and viola with local symphonies, churches, and at private events such as weddings, and engage with the local music community through collaborations and networking. 2. DUFFY ASSET MANAGEMENT LLC POSITION: Managing Member and Partner NATURE: Co-owner of Duffy Asset Management, LLC, established October 2020, holding and managing tangible and intangible assets. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 10/10/2020 ADDRESS: 212 Bradford Park Rd, Baden PA 15005, United States DESCRIPTION: Member, partner, and financial officer of Duffy Asset Management, LLC, primarily responsible for annual tax reporting. 3. SAMANTHA DUFFY - NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/05/2022 ADDRESS: 212 Bradford Park Rd, Baden PA 15005, United States DESCRIPTION: Pennsylvania Notary Public is authorized to witness signatures, administer oaths, and perform other official notarial acts to verify and authenticate documents. 4. INSURANCE BROKERAGE POSITION: Agent NATURE: Licensed Pennsylvania Resident Producer for life, health, annuities, and variable insurance products. License Number 1115075. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 03/01/2023 ADDRESS: 212 Bradford Park Rd, Baden PA 15005, United States DESCRIPTION: Financial Services Representative role advising and fixed insurance and annuities.

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-07-11
• S63 Uniform Securities Agent State Law Examination
  2022-03-11

Other Names

• Samantha L Duffy
• Samantha L Palermo