Steven Thomas Dum

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

• 12/1986 → Present
  John Hancock
  Indianapolis, IN
• 09/1988 → Present
  General American Life Insurance Co.
  St. Louis, MO
• 05/2016 → 11/2018
  Signator Investors, Inc.
  Indianapolis, IN
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Indianapolis, IN

Previous Registrations

• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  Indianapolis, IN
  Carmel, IN
• 1999-01-15 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Indianapolis, IN
  Indianapolis, IN
  Carmel, IN
  Indianapolis, IN
• 2003-09-23 → 2014-12-02
  Somerset Cpas, P.C.
  Indianapolis, IN

Other Businesses

1. THETA CHI REALTY CORPORATION POSITION: Board member NATURE: Not for profit Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 1440 N. Jordan, Bloomington IN 47408, United States DESCRIPTION: Theta Chi Realty Corporations owns the real property fraternity House that houses undergraduate members of Theta Chi Fraternity on the IU campus in Bloomington, IN. The Corporation provides room and board to these undergraduate members. The TCRC Board of Directors oversees the day to day operations in providing room and board services 2. FAIRBANKS HOSPITAL POSITION: counselor NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 05/01/2018 ADDRESS: 8102 Clearvista Pkwy, Indianapolis IN 46256, United States DESCRIPTION: I meet and counselor men who have an addiction to alcohol or drug problem. I work as a PRN and work 8 hours per week on average. 3. PROVIDENCE FINANCIAL GROUP, LLC POSITION: Registered Rep NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/14/2019 ADDRESS: 150 E. 86th Street, Suite 55-C, Indianapolis IN 46240, United States DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products 4. STEVE DUM - RENTAL PROPERTIES POSITION: proprietor NATURE: sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/15/1986 ADDRESS: 1050 e 86th st, suite 55-C, Indianapolis IN 46240, United States DESCRIPTION: Own and manage personal rental real estate 5. PROVIDENCE FINANCIAL GROUP, LLC POSITION: Registered Rep NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/14/2019 ADDRESS: 1050 E. 86th Street, Suite 55-C, Indianapolis IN 46240, United States DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products

Exams

• S63 Uniform Securities Agent State Law Examination
  1984-07-25

Designations

• Certified Financial Planner
• Chartered Financial Consultant