RC
Randee K. Cook
OSAIC WEALTH
Greeley, CO 80634
Some features on this profile are disabled
CRD#: 1300458
RC
Professional summary
Randee Kay Cook, CFP®, who also goes by Randee Cook, Randy Kay Cook, Randy Kay Snedden Cook, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Greeley, Colorado.
Randee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Randee has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
What are your service offerings?
Estate Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Randee Cook | Randy Kay Cook | Randy Kay Snedden Cook
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. 01/19/2000 - INS. SALES - 31 65TH AVE STE B, GREELEY, CO 80634-7946 - 10% OF TIME SPENT 2. 07/22/2002: UNIV ACRES PROF BUILDING LLC 3. 07/31/2003: STRATEGIC FINL MGMT, INC - NON-VARIABLE INS DBA - 31 65TH AVE STE B, GREELEY, CO 80634-7946 4. 07/11/2006: STRATEGIC FINL MGMT, INC. - INV REL - 31 65TH AVE STE B, GREELEY, CO 80634-7946 - RIA - 15% OF TIME SPENT PREPARE FINL PLANS FOR A FIXED AND HOURLY FEE 5. 09/15/2014: RC ENTERPRISES GREELEY, LLC - INV REL - HOME BASED - SELF EMP BUS. - START 01/01/2005 - 1 HR/MO NONE DURING SEC TRDG HRS - HUSBAND IS SELF EMPLOYED WE USE THIS BUS. ENT FOR MY HUSBAND'S SELF EMP POSITION. HE DOES MISC JOBS FOR CUSTOM FARM WORK. WE OWN A RENTAL HOME UNDER RC ENTERPRISES GREELEY, LLC. WE BOTH SIGN ON THE RC ENTERPRISE/RONALD & RANDEE COOK CHECKING ACCT. 6. RONNIE F CASTLE EST: NATURE: Pers rep for Est of Ronnie F Castle. Pers rep/part benef of est. INV. RELATED: Yes HOURS: 1 SEC TRADING HOURS: 1 START: 09/30/2024 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: Gathered assets for the est in which are in the bank, one Sec acct is left. We will finalize taxes for the est, then close it. Plan to complete everything by EOY. 7. UNIV ACRES PROF CONDO ASS'N POSITION: Owner NATURE: an owner of Bus. property, Univ. Acres. write checks. INV. RELATED: No HOURS: 1 SEC TRADING HOURS: 0 START : 07/03/2003 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: As an owner I help manage prop maint, handle the AP. 8. NOTARY PUBLIC POSITION: Notary for Colorado NATURE: Notarize signatures. INV. RELATED: Yes HOURS: 0 SEC TRADING HOURS: 1 START: 05/11/2018 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 9. 07/09/2008: NO BUS. NAME - 31 65TH AVE STE B, GREELEY, CO 80634-7946 - NOTARY - NO TIME spent 10. CFP POSITION: CFP NATURE: I serve as a CFP and belong to the CFP Institute. INV. RELATED: Yes NUMBER OF HOURS: 2 SEC TRADING HOURS: 2 START DATE: 01/15/1994 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: Evaluate client positions with their FINL goals, objectives, and timeframes. 11. DELBERT L SPAUR TRUST POSITION: Succ TTEE NATURE: Delbert Spaur is immed fam. member. Uncle with no children. I serve as the successor ttee for him and am a partial benef along with nieces and nephews. INV. RELATED: Yes HOURS: 1 SEC TRADING HOURS: 1 START : 04/22/2025 ADDRESS: 19556 CO RD #17, Johnstown CO 80534 DESC: I am compensated as a broker when changes are made to his brokerage acct. 12. PATRON MEMBER OF COLORADO BAR ASSN POSITION: Member NATURE: Keep up with regulations through the bar assn. INV. RELATED: No HOURS: 1 SEC TRADING HOURS: 1 START: 11/10/1999 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: No duties. 13. STRATEGIC FINL MGMT, INC POS: President NATURE: Strategic FINL Management, Inc. for my DBA. INV. RELATED: No HOURS: 2 SEC TRADING HOURS: 0 START: 01/01/1993 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: Finl planning services. 14. RC ENTERPRISES, LLC POS: Owner NATURE: Ronald L & Randy K Cook own the LLC. We use this Bus. entity for Ronald self self-emp. position. He does misc jobs for custom farm work. We also own a rental home under RC Enterprises Greeley and a lease to buy home under this entity. INV RELATED: Yes HOURS: 1 SEC TRADING HOURS: 0 START: 01/29/2015 ADDRESS: 3915 Cheyenne Dr, Greeley CO 80634 DESC: Collect rent/lease payments. Call for maint. Report annually to the State. 15. R & R COOK, LLC POS: owners: Ronald L & Randee K Cook. Office suite INV REL: No HOURS: 1 SEC TRADING HOURS: 0 START: 06/12/2003, ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: Own office suite. Pay tax and ins. 16. NAIFA NATURE: Member of NAIFA (National Assn of Insurance & Finl Advisors). INV. RELATED: Yes NUMBER OF HOURS: 1 SEC TRADING HOURS: 1 START DATE: 08/30/1984 ADDRESS: 1931 65th Ave, Unit B, Greeley CO 80634 DESC: Eval client position concerning ins protection.
CRS (Client Relationship Summary) - RIA
Click below to view Randee Kay Cook's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randee Kay Cook's 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®
Start date: 1994
Experience
Current
July 25, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 1931 65th Avenue Unit B, Greeley, CO 80634RIA
BD
CRD#: 23131
Greeley, CO
Current
July 25, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 1931 65th Avenue Unit B, Greeley, CO 80634RIA
BD
CRD#: 23131
Greeley, CO
Past
January 10, 2024 - October 10, 2025
STRATEGIC FINANCIAL MANAGEMENT, INC
RIA
CRD#: 114051
Greeley, CO
Past
September 7, 2021 - December 31, 2023
STRATEGIC FINANCIAL MANAGEMENT, INC
RIA
CRD#: 114051
GREELEY, CO
Past
March 6, 2018 - December 31, 2020
STRATEGIC FINANCIAL MANAGEMENT, INC
RIA
CRD#: 114051
GREELEY, CO
Past
January 1, 1999 - December 31, 2017
STRATEGIC FINANCIAL MANAGEMENT, INC
RIA
CRD#: 114051
GREELEY, CO
Past
January 1, 1999 - July 23, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREELEY, CO
Past
August 17, 1990 - July 23, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
GREELEY, CO
Past
September 7, 1984 - August 22, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
Arizona(7/25/2025)
RR
Arkansas(7/25/2025)
RR
California(7/25/2025)
RR
Colorado(7/25/2025)
IAR
Colorado(7/25/2025)
RR
Florida(7/25/2025)
IAR
Florida(7/28/2025)
RR
Georgia(7/25/2025)
RR
Hawaii(7/25/2025)
RR
Illinois(7/25/2025)
RR
Kansas(7/25/2025)
RR
Kentucky(7/25/2025)
RR
Louisiana(7/25/2025)
RR
Maine(7/25/2025)
RR
Maryland(7/25/2025)
RR
Massachusetts(7/25/2025)
RR
Michigan(7/25/2025)
RR
Missouri(7/25/2025)
RR
Montana(7/25/2025)
RR
Nebraska(7/25/2025)
RR
Nevada(7/25/2025)
RR
New Jersey(7/25/2025)
RR
New Mexico(7/25/2025)
RR
New York(7/25/2025)
IAR
North Carolina(7/25/2025)
RR
North Carolina(8/4/2025)
RR
North Dakota(7/25/2025)
RR
Ohio(7/25/2025)
RR
Oklahoma(7/25/2025)
RR
Oregon(7/25/2025)
RR
Pennsylvania(7/25/2025)
RR
South Carolina(7/25/2025)
RR
South Dakota(7/25/2025)
RR
Tennessee(7/25/2025)
RR
Texas(7/25/2025)
IAR
Texas(7/25/2025)
RR
Utah(7/25/2025)
RR
Virginia(7/25/2025)
RR
Washington(7/25/2025)
RR
Wisconsin(7/25/2025)
RR
Wyoming(7/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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)
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 | ||
| 12/18/2024 | ||
| 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.
