Roxanne Waterman

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

• 07/1994 → Present
  Waterman & Associates, Inc.
  Beaverton, OR
• 08/1997 → 06/2024
  Securities America, Inc.
  West Linn, OR
• 03/2000 → Present
  Alliance One, Inc.
  Beaverton, OR
• 02/2003 → 06/2024
  Securities America Advisors, Inc.
  West Linn, OR
• 09/1997 → Present
  Alliance I National Marketing / Hello World
  Portland, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  West Linn, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  West Linn, OR

Previous Registrations

• 2003-02-25 → 2024-06-14
  Securities America Advisors, Inc.
  Portland, OR
  West Linn, OR
  Portland, OR

Other Businesses

1. DBA - Waterman Wealth Strategies 2. SOROPTIMIST INTERNATIONAL OF THE AMERICAS POSITION: Charter Member NATURE: Humanitarian INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 1709 Spruce St, Philadelphia PA 19103, United States DESCRIPTION: Working to help other women and girls to be their best.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-01-09
• S63 Uniform Securities Agent State Law Examination
  1992-03-30

Other Names

• Roxanne Schmitz