Douglas James Niosi

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

• 10/2001 → 11/2018
  John Hancock Financial Services, Inc.
  Boston, MA
• 11/2018 → 06/2023
  Royal Alliance Associates, Inc.
  Red Bank, NJ
• 06/2023 → Present
  Osaic Wealth, Inc.
  Red Bank, NJ

Previous Registrations

• 2004-12-14 → 2018-11-02
  Signator Investors, Inc.
  Toms River, NJ
  New York, NY
  New York, NY
  Red Bank, NJ
  New York, NY

Other Businesses

1. SOCCER REFEREE POSITION: Referee NATURE: There is no structure. INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2025 ADDRESS: 109 White Oak Ln, Suite H, Old Bridge NJ 08857, United States DESCRIPTION: I referee travel soccer games from ages 7-20. 2. TWO RIVER FINANCIAL SERVICES LLC POSITION: Advisor NATURE: TRFS offers fixed life, health, and disability insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/02/2019 ADDRESS: 34 Shrewsbury Ave, Suite 1B, Red Bank NJ 07701, United States DESCRIPTION: TRFS offers fixed life, health, and disability insurance. 3. TWO RIVER FINANCIAL SERVICES LLC POSITION: Advisor NATURE: LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 01/10/2012 ADDRESS: 34 Shrewsbury Ave, Suite 1B, Red Bank NJ 07701, United States DESCRIPTION: This is the DBA that I market my practice through.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-08-27
• S63 Uniform Securities Agent State Law Examination
  1999-09-15

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Douglas James Niosi