Claudia Louise Sachs

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

• 10/2011 → 05/2020
  First Florida Credit Union
  Tallahassee, FL
• 05/2020 → 06/2024
  Securities America Inc
  Tallahassee, FL
• 05/2020 → 06/2024
  Securities America Advisors
  Tallahassee, FL
• 06/2024 → Present
  Osaic Wealth, Inc.
  Tallahassee, FL
• 06/2024 → Present
  Osaic Wealth, Inc.
  Tallahassee, FL
• 10/2011 → 05/2020
  Lpl Financial Llc
  Charlotte, NC

Previous Registrations

• 2020-06-01 → 2024-06-14
  Securities America Advisors, Inc.
  Tallahassee, FL
  Tallahassee, FL
  Tallahassee, FL
• 2011-12-05 → 2020-06-11
  Lpl Financial Llc
  Fort Mill, SC
  Tallahassee, FL
• 2003-04-16 → 2011-10-27
  Pruco Securities, Llc.
  Tallahassee, FL
  Tallahassee, FL
• 1999-08-31 → 2002-11-25
  Morgan Stanley Dw Inc.
  Tallahassee, FL

Other Businesses

GFWC CAPITAL CITY WOMAN'S CLUB -promote civic improvements thru volunteer. Provide local help to women & children -#HRS 4 -1/1/00 -PO Box 15826 Tallahassee FL 32317 -Attend meetings & offer support to local projects. Help clean street 1/yr, provide baked goods for fundraising & help sell. Help w/yard sale, organize it, & help day of event ECONOMIC CLUB -bring speakers to inform community about fin. & eco. conditions locally/nationally -INVEST RELATED Yes -#HRS 1 -SEC TRADE HRS 1 -1/2/00 -2952 Wellington Cir Tallahassee FL 32309 -Topics of meetings; eco. of State/Nation. Promote interest in, aid to enlighten membership & general public on important eco, poli, & social issues TALLAHASSEE REGIONAL ESTATE PLANNING COUNCIL -prof estate planners focused on furthering edu -#HRS 1 -SEC TRADE HRS 1 -1/2/00 -1435 Piedmont Dr E #101 Tallahassee FL 32308 -Promote mutual exchange of info & exper concerning estate planning & related areas. Members kept abreast of laws & conditions affecting estate planning field & strives to improve knowledge of each member GREATER TALLAHASSEE CHAMBER OF COMMERCE -help small bus grow & provide voice to gov. for small bus needs -#HRS 1 -SEC TRADE HRS 1 -1/2/00 -300 E Park Ave Tallahassee FL 32301 -participate in Chamber Leads Group program. Leads group provide small groups (different types) to meet & promote each other. Membership to learn more about community, community bus, & bus owners CLUB 25 -honorees from Tallahassee Democrat's "25 Women You Need to Know" & donate resources, time, & expertise to community. Given membership after awarded 1 of "25 Women You Need to Know" -#HRS 1 SEC TRADE HRS 1 -3/1/20 -PO Box 51 Tallahassee FL 32301 ZONTA CLUB OF TALLAHASSEE -advisor to current pres - support her & club in leadership -ZCT is member of Zonta International, global org of prof. working together to advance status of women worldwide thru service & advocacy. #HRS 8 -1/1/00 -PO Box 11215 Tallahassee FL 32302 -Provide support for issues surrounding women/girls. Help habitat for humanity build, help provide items to local woman's shelter pantry. Offer support to monthly meetings at homeless shelter (bring food, members teach how to get a job, how to write a resume). Attend local school's graduation. INSURANCE BUSINESS -Ins planning, review & mngmnt INVEST RELATED Yes #HRS 15 SEC TRADE HRS 15 -5/27/20 -1425 E Piedmont Dr Ste 303 Tallahassee FL 32308 EXTRA POINT CLUB -help est/promote traditions for FL State Univ #HRS 10 -1/1/07 -PO Box 10733 Tallahassee FL 32302 -Attend monthly meetings. During ftball games, help guests to seats & anything else they need. Help on fan days by policing lines & help coaches/students as sign autographs. Made desserts for recruiting days w/various coaches. Help clean out "sod" cemetery. Help org annual membership drive & provide apps. Provide time to help w/activities that univ requests w/in sport activities. LEON COUNTY BOARD OF COUNTY COMMISSIONS: INVESTMENT OVERSIGHT COMMITTEE -Appointed member -review invest port. perform., evaluate comp. w/county's invest policy. County has Treasury Mngr & Fin. Mngr working for Clerk of Courts & 3 members appointed to oversee committee. Each appt no longer than 3 yrs. Lunch meetings held qtrly. Reports sent prior for rvw; approx 1 hr to rvw & 1-1 1/2 hr for meeting. No handling of funds/checkbooks. INVEST RELATED Yes #HRS 1 SEC TRADE HRS 1 -8/31/23 -301 S Monroe St, Tallahassee FL 32301 CAPITAL WOMEN'S NETWORK OF TALLAHASSEE -member -Mission: provide ntwrking opps for wmn that foster leadership positions, prof. development & comm recognition. #HRS 2 -1/1/00 -304 E Tennessee St, Tallahassee FL 32301 -Est in Tallahassee 1978. Started to help wmn advance in busi, the professions, & gvmnt. Monthly meeting help network wmn in comm.

Exams

• S66 Uniform Combined State Law Examination
  1999-09-28

Designations

• Certified Financial Planner

Other Names

• Claudia Louise Rocha
• Claudia L Rocha