Bruce Wayne Swayze

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

• 06/2000 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Molalla, OR
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Molalla, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Molalla, OR

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Molalla, OR
• 2006-06-06 → 2020-11-06
  Kms Financial Services, Inc.
  Molalla, OR
  Seattle, WA

Other Businesses

GUARDIANSHIP OF AUDRIANA DENAE SWAYZE POSITION: Guardian NATURE: Financial Guardianship of Audriana Denae Swayze INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 5 START DATE: 03/15/2012 ADDRESS: 210 Kennel Ave., Suite B, Molalla OR 97038 DESCRIPTION: I am the Court-appointed financial guardian for my granddaughter, after my son (her father) died in 2011. His estate is in a restricted account for her, that I manage, until she reaches age 18. NONE POSITION: sole agent NATURE: I have an insurance license and occasionally I write a life insurance policy for a client. This is rare; perhaps one or two times/year. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1983 ADDRESS: 210 Kennel Ave, B, Molalla OR 97038, United States DESCRIPTION: Term life insurance policies.

Exams

• S66 Uniform Combined State Law Examination
  2006-06-05
• S63 Uniform Securities Agent State Law Examination
  1984-12-14