James Edward Easton

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

• 09/2014 → Present
  Sagepoint Financial
  Rockford, IL
• 09/2023 → Present
  Osaic Wealth, Inc.
  Rockford, IL

Previous Registrations

• 2014-09-29 → 2023-09-01
  Osaic Services, Inc.
  Rockford, IL
  Scottsdale, AZ
  St. Charles, IL
• 2009-09-08 → 2013-09-13
  Lpl Financial Llc
  Rockford, IL
  Rockford, IL
• 1993-01-05 → 2009-09-18
  Mutual Service Corporation
  Boston, MA
  Rockford, IL

Other Businesses

JAMES E. EASTON POSITION: Proprietor NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/23/2015 ADDRESS: 220 N Prospect St, Rockford IL 61107-4347, United States DESCRIPTION: Advising and selling fixed life and annuity products.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-11-29
• S63 Uniform Securities Agent State Law Examination
  1987-10-05

Designations

• Certified Financial Planner

Other Names

• James E Easton