Arthur John Gerry

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:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-06-23
FL	RA	APPROVED	2023-07-28
NY	RA	APPROVED	2021-04-26

NC RA
APPROVED

Since 2025-06-23
FL RA
APPROVED

Since 2023-07-28
NY RA
APPROVED

Since 2021-04-26

Branch Locations

Carolina Shores, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
John Hancock Financial Network	Great Neck	NY	09/1975	11/2018
Signator Investors, Inc.	Boston	MA	12/1976	11/2018
Royal Alliance Associates, Inc.	Great Neck	NY	11/2018	06/2023
Osaic Wealth, Inc.	Carolina Shores	NC	06/2023	Present

09/1975 → 11/2018

John Hancock Financial Network

Great Neck, NY
12/1976 → 11/2018

Signator Investors, Inc.

Boston, MA
11/2018 → 06/2023

Royal Alliance Associates, Inc.

Great Neck, NY
06/2023 → Present

Osaic Wealth, Inc.

Carolina Shores, NC

Previous Registrations

2004-09-07 → 2017-12-31

Signator Investors, Inc.

Great Neck, NY

Astoria, NY

Other Businesses

1. INSURANCE BROKER POSITION: Insurance broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1995 ADDRESS: 298 Eagle Claw Drive, Carolina Shores, NC 28467, United States DESCRIPTION: Sales and service of fixed insurance. 2. LIGHTHOUSE FINANCIAL NETWORK, LLC POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/27/2015 ADDRESS: 298 Eagle Claw Drive, Carolina Shores, NC 28467, United States DESCRIPTION: Lighthouse Financial Network, LLC is used as a marketing name for BD 3. ARTHUR J GERRY - ADMINISTRATOR POSITION: Administrator NATURE: I am the Administrator of my sister's estate, The Estate of Rose-Ellen Gerry. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/06/2025 ADDRESS: 298 Eagle Claw Dr, Carolina Shores NC 28467, United States DESCRIPTION: Handle the financial duties of her estate which includes paying off debts and distributing assets.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-27
S63	Uniform Securities Agent State Law Examination	1996-12-30

S65 Uniform Investment Adviser Law Examination

1999-10-27
S63 Uniform Securities Agent State Law Examination

1996-12-30

Designations

Chartered Financial Consultant

View on SEC IAPD