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Anthony Louis Esposito

Osaic Wealth, Inc.

Brooklyn, NY

CRD 6819406

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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:

Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-05-01
  • NY RA
    APPROVED
    Since 2023-05-01

Branch Locations

8754 Bay 16Th Street, Brooklyn, NY 11214 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Maiorano & Associates Inc Brooklyn NY 09/2019 10/2022
The University Of Mississippi Oxford MS 08/2016 06/2018
Queens College Queens NY 08/2018 06/2020
Royal Alliance Associates, Inc. Brooklyn NY 10/2022 Present
  • 09/2019 → 10/2022
    Maiorano & Associates Inc
    Brooklyn, NY
  • 08/2016 → 06/2018
    The University Of Mississippi
    Oxford, MS
  • 08/2018 → 06/2020
    Queens College
    Queens, NY
  • 10/2022 → Present
    Royal Alliance Associates, Inc.
    Brooklyn, NY
Other Businesses

MAIORANO & ASSOCIATES INC POSITION: Data entry NATURE: Tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/15/2019 ADDRESS: 8754 Bay 16th street, Brooklyn NY 11214, United States DESCRIPTION: Data entry for tax preparation FINANCIAL SALES ASSISTANT POSITION: Sales assistant NATURE: Assistant to John Bolobanic working with his financial services clients processing account paperwork INVESTMENT RELATED: Yes NUMBER OF HOURS: 135 SECURITIES TRADING HOURS: 135 START DATE: 01/15/2019 ADDRESS: 8754 Bay 16th street, brooklyn NY 11214, United States DESCRIPTION: Assistant to John Bolobanic working with his financial services clients processing account paperwork

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-28
  • S66 Uniform Combined State Law Examination
    2023-04-28

View on SEC IAPD

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