Derek Anthony Roy

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

• 10/2012 → 11/2016
  Pacific Life Insurance Company
  Newport Beach, CA
• 10/2012 → 11/2016
  Pacific Select Distributors, Inc
  Newport Beach, CA
• 11/2016 → 09/2018
  Lpl Financial, Llc
  Lake Mary, FL
• 03/2019 → 10/2019
  Wealthvest Marketing
  Bozeman, MT
• 04/2019 → 10/2019
  The Leaders Group, Inc.
  Littleton, CO
• 09/2018 → 03/2019
  Unemployed
  Orlando, FL
• 01/2020 → Present
  Sagepoint Financial, Inc.
  Boca Raton, FL
• 09/2023 → Present
  Osaic Wealth, Inc.
  Boca Raton, FL

Previous Registrations

• 2020-02-07 → 2023-09-01
  Osaic Services, Inc.
  Boca Raton, FL
• 2003-05-08 → 2004-10-12
  Transamerica Financial Advisors, Llc
  Orlando, FL

Other Businesses

1. SENTINEL PRIVATE WEALTH POSITION: Insurance Agent NATURE: Fixed insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/18/2021 ADDRESS: 1675 N Military Trail, Suite 570, Boca Raton FL 33486, United States DESCRIPTION: Provide fixed insurance to clients when appropriate

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-01-11
• S63 Uniform Securities Agent State Law Examination
  1999-01-13