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Employer firm

Osaic Advisory Services, LLC CRD 171070

$15.5B regulatory AUM 170 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 Advisory Services, Llc

2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2024-11-08
  • NE RA
    APPROVED
    Since 2024-11-08

Branch Locations

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

Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2024-06-14
  • NE RA
    APPROVED
    Since 2024-06-14

Branch Locations

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities America, Inc Omaha NE 02/2004 Present
Securities America Advisors, Inc. Omaha NE 03/2004 Present
Bryon Decker La Vista NE 05/2002 Present
Arbor Point Advisors La Vista NE 09/2014 Present
Millard Athletic Association Omaha NE 10/2012 Present
Osaic Wealth, Inc. Jersey City NJ 06/2024 Present
Osaic Wealth, Inc. Jersey City NJ 06/2024 Present
Osaic Advisory Services, Llc Atlanta GA 11/2024 Present
  • 02/2004 → Present
    Securities America, Inc
    Omaha, NE
  • 03/2004 → Present
    Securities America Advisors, Inc.
    Omaha, NE
  • 05/2002 → Present
    Bryon Decker
    La Vista, NE
  • 09/2014 → Present
    Arbor Point Advisors
    La Vista, NE
  • 10/2012 → Present
    Millard Athletic Association
    Omaha, NE
  • 06/2024 → Present
    Jersey City, NJ
  • 06/2024 → Present
    Jersey City, NJ
  • 11/2024 → Present
    Atlanta, GA
Previous Registrations
  • 2014-09-12 → 2024-11-08
    Arbor Point Advisors
    La Vista, NE
  • 2004-03-12 → 2024-06-14
    Securities America Advisors, Inc.
    Omaha, NE
    La Vista, NE
  • 2002-05-31 → 2002-10-21
    Qa3 Financial Llc
    Omaha, NE
Other Businesses

1. SECURITIES AMERICA ADVISORS, INC INVESTMENT ADVISORY - IAR START DATE: 11/2007 LOCATED AT 12325 PORT GRACE BLVD LA VISTA NE LESS THAN 1% TIME SPENT 2. INSURANCE POSITION: Agent NATURE: INSURANCE SALES - AGENT START DATE: 5/2002 LOCATED AT 12325 PORT GRACE BLVD LA VISTA NE LESS THAN 1% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2002 ADDRESS: 12325 Port Grace Blvd La Vista NE 68128 DESCRIPTION: Fixed Insurance

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-26
S63 Uniform Securities Agent State Law Examination 1999-07-12
  • S65 Uniform Investment Adviser Law Examination
    2000-05-26
  • S63 Uniform Securities Agent State Law Examination
    1999-07-12

View on SEC IAPD

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