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Osaic Wealth, Inc. CRD 23131
$235B regulatory AUM 56,660 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Oakland | CA | 01/1994 | 11/2017 |
| National Planning Corporation | Walnut Creek | CA | 02/2009 | 11/2017 |
| Securities America, Inc. | Oakland | CA | 11/2017 | 06/2024 |
| Securities America Advisors | Oakland | CA | 07/2023 | 06/2024 |
| Osaic Wealth, Inc. | Oakland | CA | 06/2024 | Present |
| Osaic Wealth, Inc. | Oakland | CA | 06/2024 | Present |
1) Jolliffe Enterprises Position: major planner/preparer Nature: tax preparation and tax consulting activities Investment Related: No Hours: 25 Securities Trading Hours: 60 Start Date: 02/01/1986 Address: P. O. BOX 2109, Alaneda CA 94501 2) Rental property Position: owner Nature: rental properties Investment Related: No Hours: 15 Securities Trading Hours: 0 Start Date: 09/12/1999 Address: P. O. BOX 2109, Alaneda CA 94501 INSURANCE POSITION: Keep the records and discuss w/clients in mtgs. NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/02/2018 ADDRESS: P. O. BOX 2109, Alameda CA 94501, United States DESCRIPTION: Explained above. SAA ADVISORY AFFILIATION POSITION: Advisor NATURE: SAA Advisory Affiliation INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 07/05/2023 ADDRESS: PO BOX 2109, Alameda CA 94501, United States DESCRIPTION: Adding advisory capability
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-07-19 |
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