Judith S Plain

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

• 01/2013 → 12/2016
  Cadaret, Grant & Co., Inc.
  West Henrietta, NY
• 12/2016 → 11/2023
  Fsc Securities Corp
  Atlanta, GA
• 11/2023 → Present
  Osaic Wealth, Inc.
  Pittsford, NY

Previous Registrations

• 2018-05-10 → 2023-11-03
  Fsc Securities Corporation
  Fairport, NY
  Fairport, NY
  West Henrietta, NY
  Pittsford, NY

Other Businesses

1) TIM PLAIN ENTERPRISES, LLC, HONEOYE FALLS, NY, RENTAL PROPERTY, SECRETARY-TREASURER 2008 TO PRESENT. 2 HRS PER MONTH - 0 DURING TRADING TIME; ALTERNATIVES FOR BATTERED WOMEN, ROCHESTER, NY, SHELTERING AND ADVISING WOMEN IN ABUSIVE RELATIONSHIPS, ADVISOR, START 7/13, COUNSEL ON BANKING, BUDGETING, FINANCIAL MANAGEMENT, LESS THAN 1% OF TIME DEVOTED TO ACTIVITY; 2) FIRST PRESBYTERIAN CHURCH OF HONEOYE FALLS POSITION: Treasurer NATURE: religious non profit 501(c)3 INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 27 N. Main St., Honeoye Falls NY 14472 DESCRIPTION: volunteer; Treasurer; reconcile monthly bank statements; prepare budget reports; P & L ; Balance sheet reports monthly; NO signing authority 3) JUDITH PLAIN POSITION: owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2017 ADDRESS: 1159 Pittsford Victor Rd., Ste 230, Pittsford NY 14534, United States DESCRIPTION: utilizing insurance products for clients based on need 4) FREEDOM FINANCIAL PLANNING, LLC POSITION: Owner/Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 130 START DATE: 11/13/2013 ADDRESS: 1159 pittsford victor rd, Ste 230, pittsford NY 14534, United States DESCRIPTION: client relationship management; investment management; personnel oversight; facilities oversight; cfo 5) TIM PLAIN ENTERPRISES, LLC POSITION: owner NATURE: Construction Project Manager; oversees renovations and remodeling for select clients. Company is filed as a LLC; 50% owner INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/08/2008 ADDRESS: 5829 Sweet Pea LN, Honeoye NY 14471, United States DESCRIPTION: work with architects; building inspectors; contractors; sub contractors; supply vendors to oversee renovations to residential clients. 6) JUDITH PLAIN POSITION: Notary Public NATURE: Notary Public qualified in the State of NY. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1990 ADDRESS: 1159 Pittsford Victor Rd, Ste230, Pittsford NY 14534, United States DESCRIPTION: provide notary services for documents that require notarization; notarize on average less than one document per month.

Exams

• S66 Uniform Combined State Law Examination
  2018-01-30
• S63 Uniform Securities Agent State Law Examination
  1999-05-07