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Michael David Fleming

Osaic Wealth, Inc.

Scottsdale, AZ

CRD 1613035

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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
NJ RA APPROVED 2017-06-19
  • NJ RA
    APPROVED
    Since 2017-06-19

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
Royal Alliance Associates, Inc New York NY 06/2015 Present
  • 06/2015 → Present
    Royal Alliance Associates, Inc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-06
S63 Uniform Securities Agent State Law Examination 1991-11-08
  • S66 Uniform Combined State Law Examination
    2017-04-06
  • S63 Uniform Securities Agent State Law Examination
    1991-11-08

View on SEC IAPD

Nearby Firms

BRIDGELIGHT CAPITAL LLC
MERCER GLOBAL ADVISORS INC.
LPL FINANCIAL LLC

Nearby Investors

GARY TODD STRINGER
SHAUN ELIZABETH BRACKEN
KENNETH ROY BLACKBURN

Nearby Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ

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