George N. Sucich

OSAIC WEALTH

Hauppauge, NY 11788

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CRD#: 1210529

Professional summary

George N Sucich, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Hauppauge, New York.

George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. George has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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. GEORGE N SUCICH ASSOC, INC. POSITION: Executive owner NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 03/22/1989 ADDRESS: 38 kings hwy, Hauppauge NY 11788, United States DESCRIPTION: Tax preparation for 9 clients. Also conduct life & health insurance sales during course of the year( not exceeding half dozen cases) 2. GEORGE N SUCICH ASSOC. INC. POSITION: president/ CFP NATURE: Sub S INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/10/1989 ADDRESS: 38 kings hwy, hauppauge NY 11788, United States DESCRIPTION: DBA 3. MJS ESTIMATING & PLANNING LLC POSITION: PRESIDENT NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 35 meadow glen rd, northport NY 11768, United States DESCRIPTION: real estate improvements & development

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George N Sucich's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view George N Sucich'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: 1986

Experience

Current

November 1, 2017 - Present

OSAIC WEALTH, INC.

Office #1: 38 Kings Highway, Hauppauge, NY 11788Office #2: 38 Kings Highway, Hauppauge, NY 11788

RIA

CRD#: 23131

Hauppauge, NY

Current

November 1, 2017 - Present

OSAIC WEALTH, INC.

Office #1: 38 Kings Highway, Hauppauge, NY 11788

RIA

CRD#: 23131

Hauppauge, NY

Past

May 11, 2015 - November 6, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

HAUPPAUGE, NY

Past

May 8, 2015 - November 6, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HAUPPAUGE, NY

Past

October 6, 2005 - May 8, 2015

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HAUPPAUGE, NY

Past

November 5, 2003 - May 8, 2015

NATIONAL PLANNING CORPORATION

CRD#: 29604

HAUPPAUGE, NY

Past

August 1, 2003 - November 5, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 12, 1993 - January 28, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA

CRD#: 8503

HAUPPAUGE, NY

Past

November 23, 1983 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

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

Connecticut
(9/18/2025)

Florida
(11/1/2017)

IAR

Florida
(7/26/2018)

Georgia
(11/1/2017)

Maine
(1/6/2023)

Massachusetts
(9/11/2023)

New Jersey
(11/1/2017)

New Mexico
(11/1/2017)

New York
(11/1/2017)

IAR

New York
(4/26/2021)

North Carolina
(11/1/2017)

IAR

North Carolina
(7/25/2018)

Pennsylvania
(11/1/2017)

South Carolina
(11/1/2017)

Texas
(11/1/2017)

Virginia
(11/1/2017)

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: 12/15/1983

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: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1989

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.

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Firm Stability Insights

George N. Sucich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George N Sucich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view George N Sucich's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Series 24

Date: 4/21/1989

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

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