Paul M. Games

OSAIC WEALTH

NEWBURYPORT, MA 01950

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CRD#: 1210502

Professional summary

Paul Michael Games, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Newburyport, Massachusetts.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Paul has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Tax Planning

Investment Planning

Employee and Employer Plan Ben...

Insurance Planning

Estate Planning

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.

Pathfinder Financial Group - DBA THE BRAIN ANEURYSM FOUNDATION POSITION: Treasurer NATURE: THE BRAIN NEURYSM FOUNDATION /CHARITABLE HEALTH ORGANIZATION-- TREASURER - 2% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2002 ADDRESS: 269 Hanover Street, Building #3, Hanover MA 02339, United States DESCRIPTION: Provide financial advice and guidance for the Charities benefit and help manage their investable assets along with several committee members. All investment decisions are made on a group vote basis. PATHFINDER FINANCIAL GROUP, INC. POSITION: President/Owner NATURE: PAUL GAMES - PATHFINDER FINANCIAL GROUP INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2009 ADDRESS: 5 Water Street, Suite 5B, Newburyport MA 01950, United States DESCRIPTION: Owns my business real estate investments. It is a C corporation. PAUL M GAMES - WEALTH MGMT POSITION: Wealth Manager & Financial Advisor NATURE: SECURITIES AMERICA ADVISORS, INC. - Investment Advisory - INVESTMENT ADVISOR REPRESENTATIVE - Investment Related - Start Date: 03/2009 - Located at 5 WATER STREET UNIT 5B, NEWBURYPORT, MA 0195 INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 80 START DATE: 03/01/2009 ADDRESS: 5 Water Street, Suite 5B, Newburyport MA 01950, United States DESCRIPTION: Wealth management services for my clients. PAUL M GAMES P&C AGENT POSITION: Agent NATURE: PROPERTY & CASUALTY & BUSINESS GROUP BENEFITS - INSURANCE SALES - AGENT - Investment Related - 10% TIME SPENT - Start Date: 03/2007 - Located at 5 WATER STREET UNIT 5B, NEWBURYPORT, MA 01950 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2007 ADDRESS: 5 Water Street, Suite 5B, Newburyport MA 01950, United States DESCRIPTION: Personal and commercial insurance sales. CLIPPER SHIP VENTURES DBA LIBERTY TAX SERVICE POSITION: Investor/Owner NATURE: I purchased with my wife a Tax Preparation Franchise through Liberty Tax Service on Nov. 22, 2016. This franchise offers personal and business income tax returns. I am employing an outside manager to run the office and hiring employees to prepare the tax returns. The office address will be located at: 5 Water Street, Suite 5C, Newburyport, MA 01950. This is a separate office locationfrom my current office. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/02/2017 ADDRESS: 5 Water Street, Suite 5C, Newburyport MA 01950, United States DESCRIPTION: Overseeing the operation via the Branch Manager whowill be managing the day to day office functions, such as, advertising,customer service, employee oversight. Making sure the operation is running with-in the bylaws of the Franchise policy.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Michael Games's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Paul Michael Games'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: 1993

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 5 Water Street Unit 5b, Newburyport, MA 01950

RIA

CRD#: 23131

NEWBURYPORT, MA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 5 Water Street Unit 5b, Newburyport, MA 01950

RIA

CRD#: 23131

NEWBURYPORT, MA

Past

March 31, 2009 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

NEWBURYPORT, MA

Past

March 31, 2009 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

NEWBURYPORT, MA

Past

March 25, 1998 - April 3, 2009

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

ANDOVER, MA

Past

February 23, 1984 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 23, 1984 - April 3, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

ANDOVER, MA

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

California
(6/14/2024)

Delaware
(6/14/2024)

Florida
(6/14/2024)

Maine
(6/14/2024)

Massachusetts
(6/14/2024)

IAR

Massachusetts
(6/14/2024)

New Hampshire
(6/14/2024)

New York
(6/14/2024)

Pennsylvania
(6/14/2024)

Rhode Island
(6/14/2024)

IAR

Texas
(6/14/2024)

Virginia
(6/14/2024)

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

IAR

Series 65

Date: 10/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/14/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/17/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/1999

General Securities Principal 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

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Paul M. Games

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Michael Games's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Paul Michael Games's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1998

Series 63

Date: 3/21/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

Series 22

Date: 5/14/1984

Series 6

Date: 2/17/1984

Series 24

Date: 5/29/1999

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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