Dennis Ray Throckmorton

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

• 05/2007 → Present
  Next Financial Group Inc
  Richmond, VA
• 08/2017 → 06/2024
  Securities America Inc.
  Richmond, VA
• 08/2017 → 06/2024
  Securities America Advisors
  Richmond, VA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Richmond, VA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Richmond, VA

Previous Registrations

• 2017-08-25 → 2024-06-14
  Securities America Advisors, Inc.
  Richmond, VA
• 2007-05-21 → 2017-09-01
  Next Financial Group, Inc.
  Houston, TX
  Richmond, VA
• 2000-01-20 → 2007-05-15
  Transamerica Financial Advisors, Llc
  Richmond, VA
  Richmond, VA
  Midlothian, VA

Other Businesses

1. RAY THROCKMORTON POSITION: Agent NATURE: Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 06/01/1980 ADDRESS: 2317 Grove Avenue, Richmond VA 23220, United States DESCRIPTION: Sales and service of insurance contracts to clients and prospects. 2.RAY THROCKMORTON POSITION: Owner of rental properties NATURE: Real Estate holdings/rentals. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1973 ADDRESS: 2317 Grove Avenue, Richmond VA 23220, United States DESCRIPTION: Rent Apartments. Find and Lease to tenants. Maintain property. Collect rent.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-24
• S63 Uniform Securities Agent State Law Examination
  1984-08-06

Other Names

• Dennis Ray Trockmorton