Roger Dale Bennett

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

• 09/1997 → Present
  Transamerica Financial Advisors, Inc.
  Grand Ledge, MI
• 09/1997 → Present
  Asset Financial Services Inc.
  Grand Lodge , MI
• 05/2016 → Present
  Signator Investors, Inc.
  Grand Ledge, MI
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Grand Ledge, MI

Previous Registrations

• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  Grand Ledge, MI
• 2010-10-29 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Grand Ledge, MI

Other Businesses

1) DBA ASSET FINANCIAL SERVICES, INC. (AFS) 820 CHARLEVOIX DR, STE 270, GRAND LEDGE MI . INV-REL. AFS IS DBA FOR CONDUCTING MY BUSINESS. IN ADDITION TO MY SECURITIES BUSINESS THROUGH TFA, SELL FIXED ANNUITIES & INS (LIFE, HEALTH, LTC). 100% OWNER & PRESIDENT OF AFS. 4/02. APPROX 20 HRS/MTH, 10 HRS/MTH DURING TRDG HRS 2) BENNETT INSURANCE AGENCY, GRAND LEDGE MI. INV-REL. 100% OWNER. 7/9/04. MY CPA, HOLDING CO ONLY, NO BUSINESS CONDUCTED 3) GRAND LEDGE CHAMBER POSITION: Board Member/no access to funds NATURE: Local Community Involvement INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/07/2019 ADDRESS: 310 /greenwood Street, Room B, Grand Ledge MI 48837, United States DESCRIPTION: Serve on the governance board,reviewing governance policies for the Chamber. 4) ROGER L. BENNETT REVOCABLE LIVING TRUST POSITION: Successor Trustee NATURE: Revocable Living Trust INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1994 ADDRESS: 3 Forest Street, Grand Ledge MI 48837, United States DESCRIPTION: Serving as successor trustee for revocable trust of father 5) MARY G. BENNETT REVOCABLE LIVING TRUST POSITION: Successor Trustee NATURE: Revocable Living Trust INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1994 ADDRESS: 3 Forest Street, Grand Ledge MI 48837, United States DESCRIPTION: Serving as successor trustee for revocable trust ofmother 6) JOANNE M BENNETT IRREVOCABLE INSURANCE TRUST POSITION: Trustee NATURE: Irrevocable Insurance Trust INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/14/2003 ADDRESS: 3521 Breezy Point Drive, Okemos MI 48864, United States DESCRIPTION: Serving as trustee of wife's ILIT

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-08-23
• S63 Uniform Securities Agent State Law Examination
  1994-08-15

Other Names

• R Dale Bennett