William Carter Going

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

• 04/2002 → Present
  Provident Mutual
  Houston , TX
• 07/2008 → 01/2025
  Lincoln Financial Securities Corporation
  Houston, TX
• 01/2025 → Present
  Osaic Wealth, Inc.
  Houston, TX

Previous Registrations

• 2007-12-18 → 2025-01-24
  Osaic Fs, Inc.
  Houston, TX
  Houston, TX

Other Businesses

1) GOING FAMILY LAKE, LLC. HOUSTON, TX INVESTMENT-RELATED: YES TITLE: PRESIDENT/EMPLOYEE DUTIES: REAL ESTATE ASSET PROTECTION. START DATE: 08/2008 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 0. 2) WILLIAM GOING 1502 AUGUSTA DRIVE, SUITE 150 HOUSTON, TX CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFER DISABILITY, LONG-TERM CARE, AND TRADITIONAL INSURANCE; FIXED AND EQUITY INDEXED ANNUITIES. START DATE: 02/2018 HOURS PER MONTH: 40 HOURS PER MONTH DURING TRADING HOURS: 40. 3) BUNKER HILL PLANNING & ZONING COMMISSION POSITION: Board Member NATURE: The Planning and Zoning Commission is called on as needed to review issues related to the City Of Bunker Hill's codes (usually involving construction).Meetings are usually less than once per month, and there is little, to no work outside the meetings.This OBA has no involvment with any securities related activity and should have zero impact on any I am doing with Lincoln. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/19/2014 ADDRESS: 11977 Memorial Drive, Houston TX 77024, United States DESCRIPTION: The Planning and Zoning Commission is called on as needed to review issues related to the City Of Bunker Hill's codes (usually involving construction).Meetings are usually less than once per month, and there is little, to no work outside the meetings.This OBA has no involvment with any securities related activity and should have zero impact on any I am doing with Lincoln. 4) GOING FAMILY LAKE LLC POSITION: President NATURE: This is a limited liability corporation that was set up to hold real estate, for asset protection purposes. It has no affiliation to anything related to my work as a RR or RIA rep.William C Going has membership interest equal to 100%. (no one else is listed in any corporate documents). INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2008 ADDRESS: 902 Frostwood, #121, Houston TX 77024, United States DESCRIPTION: I file Texas Franchise Tax paperwork each year for this entity.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-08-21
• S63 Uniform Securities Agent State Law Examination
  1999-06-21

Other Names

• Going Bill
• Bill Going