LD
Lawrence C. Dibartolomeo
OSAIC WEALTH
ORANGE VILLAGE, OH 44122
Some features on this profile are disabled
CRD#: 13429
LD
Professional summary
Lawrence Charles Dibartolomeo, who also goes by Lawrence Charles Barrett, Lawrence Barrett Dibartolomeo, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Orange Village, Ohio.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Lawrence has worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lawrence Charles Barrett | Lawrence Barrett Dibartolomeo
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) DIBART INSURANCE AGENCY CORPORATION 29280 NORTH PARK BLVD SOLON, OH 44139 CATEGORY: GROUP INSURANCE, GROUP BENEFITS CONSULTING, PROPERTY CASUALTY INSURANCE INVESTMENT RELATED: YES TITLE: PRESIDENT AND OWNER DUTIES: SALE OF GROUP INSURANCE, GROUP INSURANCE CONSULTING, REFERRAL OF PROPERTY CASUALTY START DATE: 1971 HOURS PER MONTH: 25 HOURS PER MONTH DURING TRADING HOURS: 10 2) DIBART INSURANCE AGENCY 100 PARK AVENUE SUITE 425 ORANGE VILLAGE, OH 44122 AND 29280 NORTH PARK BLVD SOLON, OH 44139 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERING ACCIDENT/HEALTH, DISABILITY, FIXED ANNUITIES, INDEX ANNUITIES, LTC, GROUP INSURANCE, TRADITIONAL LIFE INSURANCE, P&C AND INSURANCE PORTION OF HSAS START DATE: 8/1/1971 HOURS PER MONTH: 25 HOURS PER MONTH DURING TRADING HOURS: 10 3)LAWRENCE C. BARRETT 100 PARK AVE. STE. 425 ORANGE VILLAGE, OH 44122 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFER AND SERVICE FIXED INSURANCE PRODUCTS SUCH AS FIXED AND INDEXED ANNIUTIES, DISABILITY, LONG-TERM CARE, AND TRADITIONAL LIFE INSURANCE. START DATE: 3/1/1999 HOURS PER MONTH: 15 HOURS PER MONTH DURING TRADING HOURS: 15 4) DIBART INSURANCE CORP PROFIT SHARING PLAN 29280 NORTH PARK BLVD SOLON, OH 44139 CATEGORY: FIDUCIARY INVESTMENT RELATED: YES TITLE: TRUSTEE DUTIES: OWNER/TRUSTEE OF ONE PARTICIPANT PROFIT SHARING PLAN START DATE: 1/1/1990 HOURS PER MONTH: 0 HOURS PER MONTH DURING TRADING HOURS: 0 5) LAWRENCE C. BARRETT 100 PARK AVENUE SUITE 425 ORANGE VILLAGE, OH 44122 CATEGORY: LIFE SETTLEMENTS INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERING FIXED LIFE SETTLEMENTS START DATE: 7/17/2013 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 1 6) LAWRENCE BARRETT, LAWRENCE BARRETT DIBARTOLOMEO, LARRY DIBARTOLOMEO, LAWRENCE C DIBARTIOLOMEO, LARRY DIBARTOLOMEO IMDB 29280 NORTH PARK BLVD SOLON, OH 44139 CATEGORY: MEDIA INVESTMENT RELATED: NO TITLE: EMPLOYEE DUTIES: ACTING IN AND BEING AN EXTRA IN MOVIES, COMMERCIALS, AND MODELING, BOTH IN VIDEO AND PRINT. START DATE: 07/22/2013 HOURS PER MONTH: 40 HOURS PER MONTH DURING TRADING HOURS: 5 7) INDEPENDENT PHARMACY CONSULTING GROUP, LLC 100 PARK AVENUE, STE. 425 ORANGE VILLAGE, OH 44122 CATEGORY: LEGAL ENTITY/LLC INVESTMENT RELATED: YES TITLE: OWNER DUTIES: LEGAL ENTITY THROUGH WHICH PRACTICE RELATING TO WORKING WITH PHARMACISTS IS MARKETED AND MANAGED. START DATE: 09/22/2021 HOURS PER MONTH: 20 HOURS PER MONTH DURING TRADING HOURS: 20 UPDATE FORM BR: YES 8) LARRY DIBARTOLOMEO ENTERTAINMENT, LLC 29280 NORTH PARK BLVD., SOLON, OH 44139 CATEGORY: LEGAL ENTITY/LLC INVESTMENT RELATED: NO TITLE: OWNER DUTIES: LEGAL ENTITY THROUGH WHICH ACTING AND MODELING WORK IS MANAGED. START DATE: 12/24/2020 HOURS PER MONTH: 30 HOURS PER MONTH DURING TRADING HOURS: 10
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Charles Dibartolomeo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Charles Dibartolomeo'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®
NoneExperience
Current
January 24, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 100 Park Avenue Suite 425, Orange Village, OH 44122RIA
BD
CRD#: 23131
ORANGE VILLAGE, OH
Current
January 24, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 100 Park Avenue Suite 425, Orange Village, OH 44122RIA
BD
CRD#: 23131
ORANGE VILLAGE, OH
Past
January 1, 2000 - January 24, 2025
OSAIC FA, INC.
RIA
CRD#: 3978
ORANGE VILLAGE, OH
Past
June 16, 1999 - July 8, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 16, 1999 - January 24, 2025
OSAIC FA, INC.
BD
CRD#: 3978
ORANGE VILLAGE, OH
Past
March 22, 1996 - June 16, 1999
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
November 9, 1988 - March 26, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
February 2, 1984 - November 30, 1988
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Past
February 7, 1983 - February 2, 1984
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
Past
October 6, 1976 - December 28, 1982
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Past
August 20, 1976 - November 1, 1976
CAPITOL SECURITIES COMPANY
BD
CRD#: 5820
Past
March 4, 1976 - November 1, 1976
INTERNATIONAL SECURITIES CORP.
BD
CRD#: 430
Past
July 14, 1975 - October 25, 1975
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
Past
April 24, 1975 - July 18, 1975
INVESTMENT MANAGEMENT & RESERACH INC
BD
CRD#: 1000003
Past
August 24, 1972 - April 15, 1974
FUNDAMENTAL SERVICE CORPORATION
BD
CRD#: 337
Past
August 24, 1972 - July 18, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
BD
CRD#: 292
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(1/24/2025)
RR
California(1/24/2025)
RR
Colorado(1/24/2025)
RR
Florida(1/24/2025)
RR
Georgia(1/24/2025)
RR
Idaho(1/24/2025)
RR
Illinois(1/24/2025)
RR
Indiana(1/24/2025)
RR
Iowa(1/24/2025)
RR
Kentucky(1/24/2025)
RR
Maryland(1/24/2025)
RR
Michigan(1/24/2025)
RR
Minnesota(1/24/2025)
RR
Missouri(1/24/2025)
RR
Montana(1/24/2025)
RR
Nevada(1/24/2025)
RR
New Jersey(1/24/2025)
RR
New York(1/24/2025)
RR
North Carolina(1/24/2025)
RR
Ohio(1/24/2025)
IAR
Ohio(1/24/2025)
RR
Pennsylvania(1/24/2025)
RR
South Carolina(1/24/2025)
RR
South Dakota(1/24/2025)
RR
Texas(1/24/2025)
IAR
Texas(1/24/2025)
RR
Utah(1/24/2025)
RR
Virginia(1/24/2025)
RR
Washington(1/24/2025)
RR
West Virginia(1/24/2025)
RR
Wisconsin(1/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/19/1972
Registered Representative ExaminationPrincipal/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.
