Kenneth Phillip Gross

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

• 09/1994 → 11/2018
  John Hancock Mutual Life Insurance Company
  Richmond, VA
• 08/1994 → Present
  #Ia Signator Investors, Inc.
  Richmond, VA
• 09/1994 → 11/2018
  Signator Investors, Inc.
  Richmond, VA
• 11/2018 → Present
  Osaic Wealth, Inc.
  Richmond, VA

Previous Registrations

• 1998-08-05 → 2018-11-02
  Signator Investors, Inc.
  Henrico, VA
  Raleigh, NC
  Richmond, VA

Other Businesses

1) HERON CREEK ADVISORS POSITION: Owner conducting securities, investment advisory and insurance business under this business name NATURE: Chesapeake Group, LLC dba under fictitious name Heron Creek Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 04/30/2014 ADDRESS: 7100 Forest Avenue, Suite 101, Richmond VA 23226, United States DESCRIPTION: Sales and marketing of securities, investment advisory and insurance business under this business name 2) HERON CREEK BENEFITS POSITION: Owner NATURE: Chesapeake Group, LLC doing business under fictitious name Heron Creek Benefits. Provides group and individual medical and ancillary benefits. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 04/30/2014 ADDRESS: 7100 Forest Avenue, Richmond VA 23226, United States DESCRIPTION: sales and marketing of individual and group health, dental and ancillary products 3) HERON CREEK ADVISORS POSITION: Agent NATURE: Chesapeake Group, LLC dba fictitious name Heron Creek Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2012 ADDRESS: 7100 Forest Avenue, Suite 101, Richmond VA 23226, United States DESCRIPTION: sales and marketing of fixed insurance 4) CHESAPEAKE GROUP, LLC Investment Related: No; Number of hours 5, security trading hours 2; Start date: 4/1/2017 Address: 7100 Forest Avenue, Suite 101, Richmond, VA 23226 Position: Owner/Shareholder Description: Manage and administer taxable entity ownership, not marketed to public and manage business operations - pay salaries and expenses. 5) THE PARTNERS NETWORK Investment related: Yes; Number of hours 0, security trading hours 0; Start date: 5/1/2014 Address: 7700 W Camino Real, Suite 300, Boca Raton, Florida 33433 Position: Other Description: Silent company owned by managing executive used to pay John Hancock commissions.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-06-08
• S63 Uniform Securities Agent State Law Examination
  1988-03-10

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Kenneth Phillip Kappy
• Kappy Gross