AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
DB

Douglas A. Beck

OSAIC WEALTH
Forest Lake, MN 55025
Some features on this profile are disabled
CRD#: 1022113
DB

Professional summary


Douglas Allen Beck is a registered financial advisor currently at OSAIC WEALTH, INC. located in Forest Lake, Minnesota.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Douglas has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 22, Series 6, Series 53, Series 51, Series 24 and Series 26 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
Yes

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. TRUSTEE - BECK FAMILY TRUST; NOT INVESTMENT-RELATED; 108 COLLEN STREET, WYOMING, MN 55092; TRUSTEE; 05/22/1991; 1 HOUR/ 0 SECURITIES HOURS; TRUSTEE OF FAMILY TRUST. 2. BECK AUTOMOTIVE LLC POSITION: OWNER; NATURE: AUTOMOTIVE SERVICE AND REPAIR SHOP; INVESTMENT RELATED: NO; NUMBER OF HOURS: 5; INVESTMENT RELATED HOURS: 0; START DATE: 11/29/2013; ADDRESS: 892 COUNTY ROAD 10 NE, SPRING LAKE PARK MN 55434; DESCRIPTION: OWNER ONLY. MY SON RUNS THE AUTOMOTIVE SERVICE AND REPAIR BUSINESS. 3. PARK PLACE BY THE LAKE ASSOCIATION POSITION: Board Member NATURE: Association for Office Building Management INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2017 ADDRESS: 25 N Lake Street, Forest Lake MN 55025, United States DESCRIPTION: Board member for the management of the office building 4. BCD ASSOCIATES, LLC POSITION: Owner NATURE: Commercial Rental INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2019 ADDRESS: 892 County Road 10 NE, Spring Lake Park MN 55434, United States DESCRIPTION: Commercial Building Owner 5. FIVE STAR FINANCIAL RESOURCES POSITION: Owner - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 03/20/2002 ADDRESS: 25 N Lake Street, Suite 310, Forest Lake MN 55025, United States DESCRIPTION: Marketing of Financial Services 6. FIVE STAR FINANCIAL RESOURCES OF SW FLORIDA, LLC POSITION: Owner/Founder NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 07/01/2024 ADDRESS: 10436 Curry Palm Lane, Fort Myers FL 33966, United States DESCRIPTION: Business Consulting and Coaching

CRS (Client Relationship Summary) - RIA


Click below to view Douglas Allen Beck's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD


Click below to view Douglas Allen Beck's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 25 North Lake Street Suite 310, Forest Lake, MN 55025
RIA
BD
CRD#: 23131
Forest Lake, MN
Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 25 North Lake Street Suite 310, Forest Lake, MN 55025
RIA
BD
CRD#: 23131
Forest Lake, MN
Past

January 9, 2014 - September 1, 2023

OSAIC SERVICES, INC.

RIA
CRD#: 133763
FOREST LAKE, MN
Past

October 31, 2008 - September 1, 2023

OSAIC SERVICES, INC.

BD
CRD#: 133763
FOREST LAKE, MN
Past

October 1, 2002 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
FOREST LAKE, MN
Past

January 28, 1982 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX

Primary Firm SEC Registration


This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/1/2023)
RR
Alaska
(9/1/2023)
RR
Arizona
(9/1/2023)
RR
Arkansas
(9/1/2023)
RR
California
(9/1/2023)
IAR
California
(9/1/2023)
RR
Colorado
(9/1/2023)
IAR
Colorado
(3/5/2024)
RR
Connecticut
(9/1/2023)
RR
Delaware
(9/1/2023)
RR
District of Columbia
(9/1/2023)
RR
Florida
(9/1/2023)
IAR
Florida
(9/1/2023)
RR
Georgia
(9/1/2023)
RR
Hawaii
(9/1/2023)
RR
Idaho
(9/1/2023)
IAR
Idaho
(5/8/2025)
RR
Illinois
(9/1/2023)
RR
Indiana
(9/1/2023)
IAR
Indiana
(7/9/2024)
RR
Iowa
(9/1/2023)
RR
Kansas
(9/1/2023)
IAR
Kansas
(7/8/2024)
RR
Kentucky
(9/1/2023)
RR
Louisiana
(9/1/2023)
RR
Maine
(9/1/2023)
RR
Maryland
(9/1/2023)
RR
Massachusetts
(9/1/2023)
IAR
Massachusetts
(7/26/2024)
RR
Michigan
(9/1/2023)
IAR
Michigan
(9/1/2023)
RR
Minnesota
(9/1/2023)
IAR
Minnesota
(9/1/2023)
RR
Mississippi
(9/1/2023)
RR
Missouri
(9/1/2023)
RR
Montana
(9/1/2023)
RR
Nebraska
(9/1/2023)
RR
Nevada
(9/1/2023)
IAR
Nevada
(3/4/2024)
RR
New Hampshire
(9/1/2023)
RR
New Jersey
(9/1/2023)
RR
New Mexico
(9/1/2023)
RR
New York
(9/1/2023)
RR
North Carolina
(9/1/2023)
IAR
North Carolina
(9/25/2024)
RR
North Dakota
(9/1/2023)
IAR
North Dakota
(3/11/2024)
RR
Ohio
(9/1/2023)
IAR
Ohio
(3/4/2024)
RR
Oklahoma
(9/1/2023)
IAR
Oklahoma
(5/8/2025)
RR
Oregon
(9/1/2023)
RR
Pennsylvania
(9/1/2023)
RR
Puerto Rico
(9/1/2023)
RR
Rhode Island
(9/1/2023)
RR
South Carolina
(9/1/2023)
RR
South Dakota
(9/1/2023)
RR
Tennessee
(9/1/2023)
RR
Texas
(9/1/2023)
IAR
Texas
(9/1/2023)
RR
Utah
(9/1/2023)
RR
Vermont
(9/1/2023)
RR
Virgin Islands
(9/1/2023)
RR
Virginia
(9/1/2023)
IAR
Virginia
(3/5/2024)
RR
Washington
(9/1/2023)
RR
West Virginia
(9/1/2023)
RR
Wisconsin
(9/1/2023)
IAR
Wisconsin
(9/1/2023)
RR
Wyoming
(9/1/2023)

Exams


State Security Law Exam
IAR
Series 65
Date: 12/3/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Firm MonitoringMonitor not just your advisor but also their firm.
More Frequent AlertsGet updates every two weeks instead of monthly.

Contact information


Main Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Mailing Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 821-5100
Established
Delaware since 08/05/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
8,717

SEC notice filing (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

Direct owners and executive officers


NamePositionCRD#
OSAIC, INC.SHAREHOLDER
CORNICK, GREGORY ALLENCEO, PRESIDENT, DIRECTOR3132991
FORD, ERINN JUNEDIRECTOR2176816
MIHAL, SHAWN MICHAELSVP, CHIEF COMPLIANCE OFFICER3262384
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR2627931

Regulatory assets under management


Total Number of Accounts797,559
AUM (Assets Under Management)$ 200,266,275,275

Disclosures


Regulatory Event50
Arbitration31
Bond7

Accountant surprise examination report


Filing DateForm ADV-E CoverForm ADV-E Report
12/18/2024
Cover Page
01/26/2024

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


OSAIC WEALTH, INC.

CRD#: 23131Forest Lake, MN 55025

TRUST BUT VERIFY

Monitor Douglas Beck

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Brian Todd Niemann
Brian NiemannAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
STILLWATER, MN
Michael Lee Erpenbach
Michael ErpenbachAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Lake Elmo, MN

Blog Corner


footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics