Brian Farkas

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-12-18

TX RA
APPROVED_RES

Since 2024-12-18

Branch Locations

Aventura, FL • United States

3920 Veterans Memorial Hwy Suite 11, Bohemia, NY 11716 • United States

Osaic Advisory Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-11-11
WV	RA	APPROVED	2024-10-16
GA	RA	APPROVED	2024-10-15
CA	RA	APPROVED	2024-10-12
CT	RA	APPROVED	2024-10-12
MI	RA	APPROVED	2024-10-12
NY	RA	APPROVED	2024-10-12
NC	RA	APPROVED	2024-10-12
PA	RA	APPROVED	2024-10-12
SC	RA	APPROVED	2024-10-12
VA	RA	APPROVED	2024-10-12

FL RA
APPROVED

Since 2024-11-11
WV RA
APPROVED

Since 2024-10-16
GA RA
APPROVED

Since 2024-10-15
CA RA
APPROVED

Since 2024-10-12
CT RA
APPROVED

Since 2024-10-12
MI RA
APPROVED

Since 2024-10-12
NY RA
APPROVED

Since 2024-10-12
NC RA
APPROVED

Since 2024-10-12
PA RA
APPROVED

Since 2024-10-12
SC RA
APPROVED

Since 2024-10-12
VA RA
APPROVED

Since 2024-10-12

Branch Locations

3920 Veterans Memorial Highway Suite 11, Bohemia, NY 11716 • United States

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

Organization	City	State	From	To
American Portfolios Financial Services, Inc	Smithtown	NY	03/2003	10/2024
Osaic Wealth, Inc.	Scottsdale	AZ	10/2024	Present

03/2003 → 10/2024

American Portfolios Financial Services, Inc

Smithtown, NY
10/2024 → Present

Osaic Wealth, Inc.

Scottsdale, AZ

Previous Registrations

2009-03-24 → 2024-10-11

American Portfolios Advisors, Inc

Holbrook, NY

Other Businesses

1. BRIAN FARKAS MANAGEMENT CONSULTANTS-100% OWNERSHIP- ADVERTISING, INSURANCE, TIME MANAGEMENT THE MORTAGE BANKERS- EMPLOYEE- SELLING MORTGAGES. NO MORTAGE BUSINESS HAS TRANSPIRED SINCE 2007 2. BARON'S FINANCIAL STRATEGIES, INC. INSURANCE/FIXED ANNUITY SALES, NOT SECURITIES RELATED, START DATE = 12/1996, 100% OWNER 3. Dont Blink Insurance.net - life insurance long term care, not investment related, start date = 8/2021 40% ownership, 20 hrs/month, 0 hrs/mo./mkt. hrs.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-12-27
S65	Uniform Investment Adviser Law Examination	1999-10-16
S63	Uniform Securities Agent State Law Examination	1987-08-10

S66 Uniform Combined State Law Examination

2021-12-27
S65 Uniform Investment Adviser Law Examination

1999-10-16
S63 Uniform Securities Agent State Law Examination

1987-08-10

View on SEC IAPD