Susan J. Rede

OSAIC WEALTH

Monterey, CA 93940

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CRD#: 1063115

Professional summary

Susan Jane Rede, CFP®, who also goes by Sue Rede, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Monterey, California.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Susan has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Tax Planning

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

Aliases

Sue Rede

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. SUSAN J. REDE, CORPORATE REGISTERED INVESTMENT ADVISOR, INVESTMENT RELATED, 80 GARDEN COURT, SUITE 210 MONTEREY, CA 93940, OWNER, STARTED 1998, LESS THAN 1 HOURS PER YEAR, LESS THAN 1 HOUR PER YEAR DURING STH, CORPORATE RIA WITH LORING WARD (BUCKINGHAM STRATEGIC PARTNERS). 2. SUSAN J. REDE POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1984 ADDRESS: 80 Garden Court, Suite 210, Monterey CA 93940, United States DESCRIPTION: OCCASSIONALLY MAY SELL TERM, WHOLE LIFE, LONG-TERM CARE INSURANCE EITHER DIRECTLY THROUGH INSURANCE COMPANY OR VIA REFERRAL TO SOMEONE MORE ACTIVELY INVOLVED IN THE INSURANCE INDUSTRY. 3. SUSAN J. REDE POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 30 START DATE: 01/01/1995 ADDRESS: 80 GARDEN COURT, SUITE 210, Monterey CA 93940, United States DESCRIPTION: INCOME TAX PREPARATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Jane Rede's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Susan Jane Rede'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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

July 8, 1997 - Present

OSAIC WEALTH, INC.

Office #1: 80 Garden Court Suite 210, Monterey, CA 93940

RIA

CRD#: 23131

Monterey, CA

Current

November 19, 1989 - Present

OSAIC WEALTH, INC.

Office #1: 80 Garden Court Suite 210, Monterey, CA 93940

RIA

CRD#: 23131

Monterey, CA

Past

November 3, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 30, 1985 - November 3, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

October 20, 1982 - December 24, 1985

INVESTMENT MARKETING, INC.

CRD#: 2322

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".

OSAIC WEALTH, INC.

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

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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.

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

Alabama
(7/8/2011)

Arizona
(1/20/2005)

California
(11/19/1989)

IAR

California
(7/8/1997)

Colorado
(1/20/2005)

District of Columbia
(7/8/2011)

Florida
(1/20/2005)

Georgia
(1/20/2005)

Hawaii
(1/20/2005)

Idaho
(1/20/2005)

Illinois
(8/14/2020)

Indiana
(7/8/2011)

Iowa
(4/25/2000)

Kansas
(1/20/2005)

Maine
(11/19/1997)

Maryland
(1/20/2005)

Massachusetts
(1/20/2005)

Michigan
(12/4/2018)

Missouri
(1/20/2005)

Nevada
(1/20/2005)

New Hampshire
(5/10/2024)

New Jersey
(11/24/2000)

New Mexico
(10/13/2021)

New York
(7/8/2011)

North Carolina
(2/18/1997)

Ohio
(1/4/2021)

Oklahoma
(5/10/2021)

Oregon
(1/3/1996)

Pennsylvania
(11/17/1999)

South Carolina
(1/20/2005)

Tennessee
(3/7/2014)

Texas
(1/20/2005)

Virginia
(10/5/1994)

Washington
(11/18/1997)

Wisconsin
(1/20/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

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

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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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)

FINRA licenses (53 States and Territories)

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)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Susan J. Rede

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Jane Rede's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Susan Jane Rede's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CHRISTOPHER WEIL & COMPANY, INC

INVESTMENT MARKETING, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/16/1982

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Contact information

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