Douglas John Mayes

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

• 02/2001 → 10/2017
  National Planning Corp
  Lakewood, CO
• 10/2017 → 09/2023
  Sagepoint Financial, Inc.
  Lakewood, CO
• 09/2023 → Present
  Osaic Wealth, Inc.
  Lakewood, CO

Previous Registrations

• 2017-10-31 → 2023-09-01
  Osaic Services, Inc.
  Lakewood, CO
  Phoenix, AZ
  Lakewood, CO
• 2001-02-02 → 2017-11-02
  National Planning Corporation
  Lakewood, CO
  Pacific, CA
  Denver, CO

Other Businesses

1. INVEST WEST, INC. POSITION: President/Co-Owner NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/1985 ADDRESS: 7114 West Jefferson Ave, Lakewood CO 80235, United States DESCRIPTION: Invest West was established February 1, 1985 first as Sole Proprietor, then as an LLC entity for the client base of Douglas J Mayes. Invest West was then incorporated July 1, 2000 as the entity for Mr. Mayes' client base and the operation of an OSJ Office to supervise representatives. The actual corporation name is 285 Invest West, Inc., as Invest West, Inc. was an already established corporation with the State of Colorado. Per the State of Colorado, we can use Invest West, Inc as our DBA. At the recommendation of our CPA to keep a clear and distinct separation of monies between commissions earned by Mr. Mayes' from his client base and the overrides from reps under our supervision it was suggested that another corporation be established. Mayes Management, Inc. was incorporated with the State of Colorado on November 1, 2000. Commissions and overrides were paid to Mr. Mayes directly with Mr. Mayes then paying his earned commissions to Mayes Management, Inc., and the earned overrides to Invest West, Inc. Mayes Management, Inc. simply exists for the operation of Doug Mayes' personal securities/insurance related production done thru the broker/dealer and for those products outside the broker/dealer, such as fixed annuities, LTC, fixed insurance, etc. Mr. Mayes' clients do not recognize Mayes Management, Inc. as the company they do business with. Invest West, Inc. had been in existence 15 years prior to Mayes Management, Inc. being established. Rather than confuse the clients and our representatives we chose to continue with the use of Invest West, Inc as our DBA. All business cards, stationary, office signage, phone greetings, etc. reference Invest West and not Mayes Management. We are no longer supervising representatives and will no longer be receiving any overrides, but will continue with the use of Invest West, Inc as our DBA, as this is the name our clients have known us by

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-07-07
• S63 Uniform Securities Agent State Law Examination
  1983-02-11

Designations

• Chartered Financial Consultant