Stephen Andrew Williams

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

• 04/2017 → 03/2020
  Ameriprise Financial Services, Inc.
  Burnsville, MN
• 02/2017 → 04/2017
  N/A
  Plymouth, MN
• 04/2016 → 02/2017
  The Related Companies
  Dickinson, ND
• 03/2020 → 03/2025
  Ameriprise Financial Services, Llc
  Burnsville, MN
• 03/2025 → Present
  Osaic Wealth, Inc.
  Edina, MN

Previous Registrations

• 2019-11-19 → 2025-03-03
  Ameriprise Financial Services, Llc
  Burnsville, MN
  Burnsville, MN

Other Businesses

1. STEPHEN WILLIAMS INSURANCE SALES POSITION: Financial Advisor NATURE: Insurance agent sole proprietorship. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/06/2018 ADDRESS: 1020 W Burnsville Pkwy, 369, Burnsville MN 55337, United States DESCRIPTION: Licensed life and health agent with more mainstream duties and some more advanced consulting duties to business owners, financial planning clients, and estate cases: -Primarily working through Highland Capital Brokerage for life and health cases. -Life insurance policies:, fixed, indexed, term, perm. Typically term, UL or linked benefit. -Annuities: primarily indexed or fixed. Often death benefit riders or tax strategies like a 1035 exchange are pursued. -Health insurance policies: mostly long-term care insurance offered via riders on life policies. Some annuities that may also pay out for a long-term care claim. -Responsible for consulting on use of life or health insurance products. This may include activity that is part of a paid financial plan. This can also include more advanced considerations such estate planning or business owner planning where co-ordination with external professionals becomes necessary. May entail referrals to or from outside businesses like estate planning attorneys, a PEO, or other services, and co-ordination with these outside businesses for the benefit of the mutual client. Trinet is a specific PEO I am in contact with. Trinet may pay me referral fees tied to my business as a life and health agent if I refer business entities to Trinet for PEO services. 2. B2B NETWORKING POSITION: Member NATURE: This is a networking group I participate in. The business professionals associated with this group may refer business prospects to other members in the group, including me. At present there are no referral fees exchanged to my knowledge and there may never be. This is possible, however, and has been marked accordingly. It is a networking group. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2026 ADDRESS: 8010 W Park Hills Dr, Bloomington MN 55438, United States DESCRIPTION: I have no prescribed duties as a member except to pay dues and attend meetings. There is an expectation that I learn about other members' businesses and make referrals to them as appropriate. For this activity, so far, no compensation has occurred. This could change in theory, however and will be marked accordingly. 3.FEDEX FREIGHT POSITION: Freight Handler NATURE: Corporation. INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 0 START DATE: 08/27/2026 ADDRESS: 9331 217th St W, Lakeville MN 55044, United States DESCRIPTION: Part-time, hourly warehouse freight handler at the above location in Lakeville, MN for Fedex. Working an evening shift after business hours Monday through Friday.

Exams

• S66 Uniform Combined State Law Examination
  2018-03-20

Other Names

• Stephen - Williams