Benjamin Carl Tompkins

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

• 04/2016 → 11/2018
  Regal Investment Advisors, Llc
  Kentwood, MI
• 11/2018 → 01/2024
  Woodbury Financial Services Inc
  Oshkosh, WI
• 01/2024 → Present
  Osaic Wealth, Inc.
  Oshkosh, WI

Previous Registrations

• 2018-11-16 → 2024-01-19
  Woodbury Financial Services, Inc.
  Oshkosh, WI
  Oshkosh, WI
  Naples, FL
• 2016-04-19 → 2018-11-20
  Regal Investment Advisors Llc
  Oshkosh, WI
  Kentwood, MI
  Oshkosh, WI
• 2013-12-20 → 2016-04-25
  Thrivent Investment Management Inc.
  Appleton, WI
  Oshkosh, WI
  Oshkosh, WI
  Oshkosh, WI

Other Businesses

1. TOMPKINS FINANCIAL SERVICES POSITION: Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/21/2018 ADDRESS: 2905 Universal St., Oshkosh WI 54904, United States DESCRIPTION: Life Insurance & Fixed Annuities 2. TENACITY ADVISORY GROUP, INC POSITION: Affiliated Advisor NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2019 ADDRESS: 566 Red Bird Circle, DePere WI 54115, United States DESCRIPTION: Share Best Practices 3. TOMPKINS FINANCIAL SERVICES, LLC POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 2905 Universal St. LL1, 1624, Oshkosh WI 54904, United States DESCRIPTION: Running my business the same just as an LLC.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-12-19
• S63 Uniform Securities Agent State Law Examination
  2006-09-16