Joshua Alan Dobi

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

• 01/2009 → 09/2023
  Sagepoint Financial, Inc
  Pittsburgh, PA
• 09/2009 → Present
  Dobi Financial Group, Llc
  Cornelius, NC
• 09/2023 → Present
  Osaic Wealth, Inc.
  Pittsburgh, PA

Previous Registrations

• 2010-06-28 → 2023-09-01
  Osaic Services, Inc.
  Cornelius, NC
  Pittsburgh, PA
  Hickory, NC
  Pittsburgh, PA
• 2003-01-30 → 2011-06-16
  T & D Advisors Incorporated
  Pittsburgh, PA

Other Businesses

1. SHUA DOBI, INDEPENDENT INSURANCE SALES POSITION: Agent/Rep/Sole Proprietorship NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20% SECURITY TRADING HOURS: 20% START DATE: 01/1999 ADDRESS: DESCRIPTION: My DBA is Dobi Financial Group, LLC. It is a financial services firm engaged in insurance and securities business through me. I work it as a full time job. 2. NORTH MECKLENBURG ROTARY CLUB POSITION: Board Member NATURE: non-profit; INV RELATED: No; HRS: 1; SEC HRS: 0; 10/20/2014; 20901 N Main St, Cornelius NC 28031; Board members manage the affairs of the club, which include: fundraising and volunteering in the community. 3. NORTH MAIN FINANCIAL GROUP LLC; POSITION: President NATURE: LLC INV RELATED: Yes HRS: 160 SEC HRS: 160 START DATE: 04/25/2018; ADDRESS: 20901 N Main St, Cornelius NC 28031; DESCRIPTION: I am the owner of this DBA. We conduct securities and insurance-related business using this DBA as our marketing. 4. NOVANT HEALTH FOUNDATION POSITION: Board Member; NATURE: charitable organization; INV RELATED: No; HRS: 1; SEC HOURS: 1 START DATE: 04/01/2018 ADDRESS: 20901 N Main St, Cornelius NC 28031 DESCRIPTION: I, with our other board members, provide feedback to the Foundation staff about fundraising, organizational management, and marketing efforts 5. NORTH MAIN FINANCIAL GROUP LLC POSITION: President/CEO NATURE: It is structured as a single-member LLC - I am the only member.We conduct securities and insurance-related business under this DBA. This is my full-time job. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/25/2018 ADDRESS: 20901 N. Main St, Cornelius NC 28031, United States DESCRIPTION: I am the owner of this DBA. We conduct securities and insurance-related business using this DBA as our marketing. 6. NORTH MAIN FINANCIAL GROUP LLC POSITION: Financial Advisor; NATURE: property & casualty insurance to our clients; INV RELATED: Yes; HRS: 4; SEC HRS: 4 START DATE: 06/15/2020 ADDRESS: 20901 N. Main Street, Cornelius NC 28031 DESCRIPTION: As licensed P&C professionals, we will offer P&C insurance to our clients, utilizing IPCG as the independent broker/agent to manage the process from application to claim management 7. CHARLOTTE INDEPENDENCE SOCCER CLUB POSITION: Director on the BOD NATURE: This is a regional soccer youth soccer organization. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2023 ADDRESS: 10228 Bailey Road, Suite 203, Cornelius NC 28031, United States DESCRIPTION: Provide strategic feedback for the employees and staff of the organization 8.LAKE NORMAN WOMAN MAGAZINE POSITION: Silent Partner/Investor NATURE: LLC Local community magazine focused on women in our region INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2024 ADDRESS: P.O. Bo 1000, Cornelius NC 28031, United States DESCRIPTION: Silent Partner/Investor 9. CAIN CENTER FOR THE ARTS - BOARD OF ADVISORS POSITION: Board Member NATURE: As Board members for the Cain Center for the Arts reach their term limit, they are sometimes asked to sit on a non-voting board of advisors to provide strategic support to the formal Board. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2025 ADDRESS: 21348 Catawba Avenue, Cornelius NC 28031, United States DESCRIPTION: Non-voting advisory board to the formal Board of Directors for the Cain Center for the Arts 10. NORTH MAIN CAPITAL LLC POSITION: Owner NATURE: This LLC is used for collection of rent for property where North Main Financial Group resides in North Carolina. In addition, as previously disclosed in a separate OBA entry, this LLC receives the 'shared profits' from an investment by North Main Capital into Lake Norman Women magazine. INVESTMENT RELATED: No NUM OF HRS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 20901 N. Main St, Cornelius NC 28031, United States DESCRIPTION: Passive investor

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-09-30
• S63 Uniform Securities Agent State Law Examination
  1999-03-03