Frank Ralph Lavin

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

• 10/2010 → 11/2017
  National Planning Corporation
  Santa Monica, CA
• 11/2017 → 06/2024
  Securities America Inc.
  San Francisco, CA
• 11/2017 → 06/2024
  Securities America Advisors
  San Francisco, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  San Francisco, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  San Francisco, CA

Previous Registrations

• 2017-11-03 → 2024-06-14
  Securities America Advisors, Inc.
  San Francisco, CA
  San Francisco, CA
• 2010-10-25 → 2017-11-07
  National Planning Corporation
  San Francisco, CA
  San Rafael, CA
  Alameda, CA
  El Segundo, CA
• 2009-05-07 → 2010-10-26
  Equitable Advisors, Llc
  San Francisco, CA
  San Francisco, CA

Other Businesses

1. Frank Lavin Financial Services Position: Owner - Nature: Fixed life insurance sales - Investment Related: Yes Hours: 2 - Securities Trading Hours: 2 - Start Date: 04/01/1988 Address: 11 Red Oak Court, San Rafael CA 94903 Description: Fixed life insurance sales to a select group of existing long term clients. 2. Securities America Advisors Position: IAR - Nature: IAR for SAA - Investment Related: Yes - Hours: 200 Securities Trading Hours: 120 - Start Date: 11/01/2017 Address: 12325 Port Grace Blvd., La Vista NE 68125 - Description: Investment Advisor Representative of Securities America Advisors. 3. Columbus Advisors - DBA 4. SALESIAN BOYS' AND GIRLS' CLUB POSITION: officer of the corporation NATURE: Charitable. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2007 ADDRESS: 680 Filbert Street, San Francisco CA 94133 DESCRIPTION: Past President of the Board of Directors, and member of the Board of Directors 5. FRANK AND TERESA LAVIN REAL ESTATE HOLDINGS POSITION: landlord NATURE: personal real estate ownership and rental management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2008 ADDRESS: 11 red oak court, san rafael CA 943903 DESCRIPTION: real estate ownership and management 6. STS. PETER AND PAUL CHURCH PARISH COUNCIL POSITION: Council member NATURE: Local church advisory body. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2016 ADDRESS: 666 Filbert Street, San Francisco CA 94133, United States DESCRIPTION: As a leader of a couple of parish groups, I report to the parish council our activities. In addition, I serve as a part of the decision-making team for the parish for religious and community activities. Finally, I am one of many voices to give input on parish finances. The entire council consists of about fifteen people. 7. FISHERMEN AND SEAMEN'S MEMORIAL CHAPEL POSITION: board member NATURE: Board member of a chapel. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2009 ADDRESS: Pier 45, San Francisco CA 94133, United States DESCRIPTION: Care for the upkeep of an historic and beautiful landmark building by helping to operate the chapel. Duties include supervising a part-time employee, marketing the chapel in the community and serving as an ambassador of good will, and fundraising to meet a small annual budget. 8. CO-SPECIAL ADMINISTRATOR POSITION: Co-administrator NATURE: No actual business structure. Helping a family friend as co-administrator of her bother and sister-in-law's estate. Involves banking and securities. Not a client or ever a client. The friend is elderly. I would stand beside her as administrator of the estate and beneficiary (her) of the estate, INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/17/2025 ADDRESS: 1050 River Rock Lane, Danville CA 94526, United States DESCRIPTION: Assist in reviewing legal documents and provide advice if necessary. Work with current estate attorney to settle the estate. 9. COLUMBUS ADVISORS POSITION: Principal and Partner NATURE: DBA for Investment Advisory firm- Columbus Advisors INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 120 START DATE: 09/01/2014 ADDRESS: 505 Beach Street, Suite 120, San Francisco CA 94133, United States DESCRIPTION: Owner and partner in Columbus Advisors, a California general partnership. Used as a DBA for securities-related work.

Exams

• S66 Uniform Combined State Law Examination
  2009-05-05

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Frank R Lavin