Edward Marshall Stephens

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

• 11/1987 → Present
  Ted Stephens
  Santa Rosa, CA
• 12/1987 → 11/2023
  Fsc Securities Corporation
  Santa Rosa, CA
• 11/2023 → Present
  Osaic Wealth, Inc.
  Santa Rosa, CA

Previous Registrations

• 1997-07-08 → 2023-11-03
  Fsc Securities Corporation
  Santa Rosa, CA

Other Businesses

1. TED STEPHENS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1985 ADDRESS: 703 2nd st, Santa Rosa CA 95404, United States DESCRIPTION: Provide life insurance services for clients 2. TED STEPHENS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1985 ADDRESS: 703 2nd st, Santa Rosa CA 95404, United States DESCRIPTION: I have a MS in Taxation and a MBA in Finance. I do planning work related to estate and gift taxation. I also do some other tax and business consulting for clients. This work has nothing to do with investments; it has everything to do with their business and family succession. I have been doing this for about 25 or so years. 3. ROBERT YOUNG VINEYARDS/YOUNG FAMILY CORPORATION/ ROBERT YOUNG ESTATE WINERY POSITION: Director NATURE: Corporations, LLC and GP that operates a Family Limited Partnership. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2009 ADDRESS: 4950 Red Winery Road Geyserville, CA 95441, Geyserville CA 95441, United States DESCRIPTION: Outside Directior for a Local Wine Grape Grower and Winery.Board Chairman starting mid 2015.This is a long time estate planning client/Family. 4. WILDERNESS HISTORY AND OPEN ACCESS (WHOA) POSITION: Treasurer/incorporator NATURE: Wilderness History and Open Access (WHOA)Idaho Corp. Federal Charity, 501c(3) to keep trails in the Wilderness open and also promote backcountry history. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/29/2013 ADDRESS: 613 W. Sandstone Ct., Boise ID 83702, United States DESCRIPTION: There have been seven directors. I worked with the atty on the articles of incorporation. Directors set-up the by-laws. I was asked to be treasurer. I file for the IRS charity exemption. 5. THE COMMUNITY FOUNDATION OF MENDOCINO COUNTY POSITION: Investment Committee Member NATURE: Community Foundation 501c3 INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/27/2018 ADDRESS: 204 South Oak St, Ukiah CA 95482, United States DESCRIPTION: The former CFMC chair asked me to sit on the investment committee as a committee member. I am not a director for the Foundation. I am the only non-retired member that is on the investment business. Investment committee meets once a quarter. They thought I would bring a current environment perspective. 6. STEPHENS PARDALOE RANCH POSITION: Owner - NATURE: Was farming partnership with my father, he has now passed away. Then it was with my wife. She has passed away too. It is a SP, Schedule F, with just me. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 09/06/1972 ADDRESS: Ranching and Timber Growing, PO Box 169, Yorkville CA 95494, United States DESCRIPTION: Own and manage 1200 Acre Ranch property

Exams

• S66 Uniform Combined State Law Examination
  2015-06-25
• S63 Uniform Securities Agent State Law Examination
  2006-07-12

Other Names

• Ted Stephens