Jon Mark Massey

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

THREE ARCH WEALTH MANAGEMENT LLC

IRVINE, CA · CRD#

Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 1295 Corona Pointe Court Suite 101, Corona, CA 928792. Corona, CA

July 22, 2025 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1295 Corona Pointe Court Suite 101, Corona, CA 92879

July 22, 2025 - Present

Past

MARINER ADVISOR NETWORKPast·CRD# 283824

RIA

Corona, CA

November 1, 2016 - August 6, 2025

LPL FINANCIAL LLCPast·CRD# 6413

RIA

Corona, CA

August 25, 2021 - July 30, 2025

LPL FINANCIAL LLCPast·CRD# 6413

BD

Corona, CA

January 29, 2016 - July 30, 2025

WEALTHPLAN PARTNERSPast·CRD# 158935

RIA

Corona, CA

February 2, 2016 - November 11, 2016

NATIONAL PLANNING CORPORATIONPast·CRD# 29604

RIA

Corona, CA

January 17, 2006 - February 2, 2016

NATIONAL PLANNING CORPORATIONPast·CRD# 29604

BD

Corona, CA

September 27, 2004 - February 2, 2016

TRANSAMERICA FINANCIAL ADVISORS, INC.Past·CRD# 3600

BD

February 12, 1991 - December 31, 1991

TRANSAMERICA SECURITIES SALES CORPORATIONPast·CRD# 17970

BD

April 22, 1987 - December 31, 1991

TRANSAMERICA FINANCIAL ADVISORS, INC.Past·CRD# 3600

BD

April 10, 1987 - September 14, 1989

AETNA LIFE INSURANCE AND ANNUITY COMPANYPast·CRD# 13256

BD

May 14, 1985 - December 13, 1988

PRUCO SECURITIES, LLC.Past·CRD# 5685

BD

August 1, 1983 - July 19, 1984

Similar Advisors

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

THREE ARCH WEALTH MANAGEMENT LLC

IRVINE, CA · CRD#

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

Current Firm

OW

OSAIC WEALTH, INC.

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)

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

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
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
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) 08/10/2016: Providence Professional Insurance Services At Reported Business Location(s) - Insurance Agency - POSITION: President NATURE: Providence Professional Insurance Services is a fictitious business name owned by Plan With Providence, LLC and licensed to transact insurance in the State of California. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 ADDRESS: 1295 Corona Pointe Ct, Ste 101, Corona CA 92879, United States DESCRIPTION: Providence Professional Insurance Services, operating under Plan With Providence, LLC is in the business of transacting life and disability insurance policies for its clientele. I oversee the operation. 2) Providence Wealth Planning At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 06/21/2021 - 224 Hours Per Month/8 Hours During Securities Trading. POSITION: President NATURE: LLC INVESTMENT RELATED: Yes ADDRESS: 1295 Corona Pointe Ct, Ste 101, Corona CA 92879, United States DESCRIPTION: Providence Wealth Planning is a fictitious business name owned and registered by Plan With Providence, LLC. We utilize this as it contains the name of our firm. It is wholly owned by Plan With Providence, LLC. 3) 09/15/2022 - Plan With Providence, LLC. -At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 06/21/2021 - 224 Hours Per Month/8 Hours During Securities Trading POSITION: President NATURE: LLC INVESTMENT RELATED: No ADDRESS: 1295 Corona Pointe Ct, Ste 101, Corona CA 92879, United States DESCRIPTION: Plan With Providence, LLC is an administrative firm. We operate to support our financial advisors at our firm, providing them with administrative and payroll support. I am the President of the company and oversee the operation. I supervise all personnel and make decisions on hiring and firing. 4) Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Mariner Independent Advisor Network LLC, an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 5) J.M. Massey Financial Coaching, LLC At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 01/05/2023 POSITION: President NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 ADDRESS: 24501 Sunset Vista Drive, Corona CA 92883, United States DESCRIPTION: This is a business wholly owned by me that provides administrative services to Plan With Providence, LLC, to service my advisory clients held at the broker-dealer. 6) LAMB'S FELLOWSHIP CHURCH BOARD OF DIRECTORS POSITION: Board Member NATURE: This is a church, organized as a non-profit organization. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/19/2025 ADDRESS: 21901 Railroad Canyon Road, Lake Elsinore CA 92532, United States DESCRIPTION: As a board member of the church, I attend regular monthly meetings, voting on a variety of issues and providing my guidance as needed.

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