Thomas Martin Appleton

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

• 09/2000 → 06/2024
  Securities America, Inc
  Omaha, NE
• 09/2000 → Present
  Diamond Financial Services
  Clifton Park, NY
• 02/2001 → 06/2024
  Securities America Advisors, Inc
  Omaha, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  Clifton Park, NY

Previous Registrations

• 2021-08-02 → 2024-06-14
  Securities America Advisors, Inc.
  Clifton Park, NY

Other Businesses

DIAMOND FINANCIAL SERVICES POSITION: Managing member NATURE: DIAMOND FINANCIAL SERVICES INSURANCE SALES MANAGING MEMBER 10% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 09/01/2000 ADDRESS: 636 Plank Rd #104, Clifton Park NY 12065 DESCRIPTION: Life insurance and LTC needs of my clients for more NY companies.

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-09-22