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Scott N. Zambelli

OSAIC WEALTH
PORT JEFFERSON STATION, NY 11776
Some features on this profile are disabled
CRD#: 1487890
SZ

Professional summary


Scott Nicholas Zambelli, ChFC® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Port Jefferson Station, New York.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

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.
***HERITAGE HARBOR PLAZA, LLC -President -Ownership in our building through LLC. INVEST RELATED Yes #HRS 3 SEC TRADE HRS 3 -12/24/2014 -106 Crystal Brook Hollow Rd, Port Jefferson Station NY 11776 -Opened this LLC to purchase the building we are in. ***MERIDIAN HERITAGE, LLC -Managing Partner -LLC owns our existing building w/another group 60-40 INVEST RELATED No #HRS 5 SEC TRADE HRS 1 -6/2/17 -2410 North Ocean Ave, Farmingdale NY 11738 -I will share in the management of the building ***HERITAGE DELI, LLC -Owner -Deli INVEST RELATED Yes #HRS 5 SEC TRADE HRS 0 4/17/19 -975 West Jericho Tpke, Smithtown NY 11787 -Silent partner-assist in management of the financials. ***SECURITIES AMERICA ADVISORS -Investment Advisor -Advisory Service INVEST RELATED Yes #HRS 40 SEC TRADE HRS 30 6/16/20 -106 Crystal Brook Hollow Rd, Port Jefferson Station NY 11776 -Advisory service provided ***SUFFOLK COUNTY POLICE ATHLETIC LEAGUE -Volunteer -Community outreach program for children. INVEST RELATED No #HRS 2 SEC TRADE HRS 2 4/1/10 -30 Yaphank Ave, Yaphank NY 11980 -Volunteer work. Control direction of the organization. Make decisions by majority. ***HERITAGE HARBOR FINANCIAL ASSOCIATES -Managing partner -This is our LLC for our insurance and investment business. We created an LLC for our DBA. INVEST RELATED Yes #HRS 25 SEC TRADE HRS 50 2/12/2018 -106 Crystal Brook Hollow Rd, Port Jefferson Station NY 11776 -This is our firm name. We do Investments and insurance. ***SUFFOLK COUNTY POLICE ATHLETIC LEAGUE -Executive Board member -1st Vice President of Suffolk County Police Athletic League. INVEST RELATED No #HRS 5 SEC TRADE HRS 2 12/1/2021 -PO Box 26, Yaphank NY 11980 -Vice President In the absence or disability of the President, the First VP shall perform all duties of the President and when acting, shall have all the powers of and be subject to all restriction on the President. ***HERITAGE HARBOR FINANCIAL ASSOCIATES -advisor -Writing fixed annuity and life insurance business through approved outside agencies. INVEST RELATED No #HRS 10 SEC TRADE HRS 10 -5/1/22 -6 Crystal Brook Hollow Rd, Port Jefferson Station NY 11776 -Fixed annuities and whole life and term insurance. ***SCOTT ZAMBELLI QUALIFIED PLAN -President -Purchase and sale of real estate within qualified money using self-directed IRA. INVEST RELATED No #HRS 10 SEC TRADE HRS 4 -8/31/22 -29 Avolet Crt, Mount Sinai NY 11766 -I will be using qualified funds to purchase real estate for either rental income or to resell. ***GRIFFIN DISTRIBUTORS -affiliated agent -Life insurance brokerage INVEST RELATED No #HRS 3 SEC TRADE HRS 3 -2/1/23 -9208 Falls of Neuse Rd Ste 115, Raleigh NC 27615 -We will place fixed life and annuity business through this distributor. ***NA -Co Trustee -My aunt and Uncle are requesting to make me a trustee of their estate. They do not have any assets with me or my firm. They do not plan to put assets with me or my firm. I understand if this is approved, I cannot accept any assets from them as it is prohibited. INVEST RELATED No #HRS 0 SEC TRADE HRS 0 9/22/23 -15 Orient Dr, Brentwood NY 11706 -Trustee of my aunt and uncle's estate. No assets are held with me or my firm. ***KORTRIGHT KARES FOUNDATION -Advisory board member overseeing direction of foundation. -Foundation is dedicated to substantially impacting our community through charitable efforts & strategic partnerships. Advisory Board plays crucial role in guiding foundation, ensuring that we remain steadfast in mission & effective in our operations. As member of Advisory Board, you would provide invaluable insights & oversight, helping us navigate challenges & seize opportunities to maximize our impact. INVEST RELATED No #HRS 2 SEC TRADE HRS - 1 5/15/24 -PO Box 430, East Islip NY 11730

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Scott Nicholas Zambelli's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD


Click below to view Scott Nicholas Zambelli'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®
ChFC®

Experience


Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 106 Crystal Brook Hollow Road, Port Jefferson Station, NY 11776
RIA
BD
CRD#: 23131
PORT JEFFERSON STATION, NY
Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 106 Crystal Brook Hollow Road, Port Jefferson Station, NY 11776
RIA
BD
CRD#: 23131
PORT JEFFERSON STATION, NY
Past

June 26, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
PORT JEFFERSON STATION, NY
Past

June 26, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
PORT JEFFERSON STATION, NY
Past

February 14, 2017 - July 7, 2020

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
PORT JEFFERSON, NY
Past

August 16, 2016 - July 7, 2020

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
PORT JEFFERSON, NY
Past

November 5, 1986 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
MOUNT SINAI, NY
Past

November 5, 1986 - August 19, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MT SINAI, 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".
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
(6/14/2024)
RR
California
(6/14/2024)
RR
Colorado
(6/14/2024)
RR
Florida
(6/14/2024)
IAR
Florida
(9/6/2024)
RR
Georgia
(6/14/2024)
RR
Louisiana
(9/26/2024)
RR
Maryland
(6/14/2024)
RR
Massachusetts
(6/14/2024)
RR
Michigan
(6/14/2024)
RR
Nevada
(6/14/2024)
RR
New Hampshire
(6/14/2024)
RR
New Jersey
(6/14/2024)
RR
New York
(6/14/2024)
IAR
New York
(6/14/2024)
RR
North Carolina
(6/14/2024)
IAR
North Carolina
(9/5/2024)
RR
Pennsylvania
(6/14/2024)
RR
South Carolina
(6/14/2024)
RR
Tennessee
(6/14/2024)
RR
Texas
(6/14/2024)
IAR
Texas
(6/14/2024)
RR
Vermont
(6/14/2024)
RR
Virginia
(6/14/2024)

Exams


State Security Law Exam
IAR
Series 65
Date: 2/3/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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)

Direct owners and executive officers


NamePositionCRD#
OSAIC, INC.SHAREHOLDER
CORNICK, GREGORY ALLENCEO, PRESIDENT, DIRECTOR3132991
FORD, ERINN JUNEDIRECTOR2176816
MIHAL, SHAWN MICHAELSVP, CHIEF COMPLIANCE OFFICER3262384
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR2627931

Regulatory assets under management


Total Number of Accounts797,559
AUM (Assets Under Management)$ 200,266,275,275

Disclosures


Regulatory Event50
Arbitration31
Bond7

Accountant surprise examination report


Filing DateForm ADV-E CoverForm ADV-E Report
11/14/2025
Cover Page
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.

Company Information


OSAIC WEALTH, INC.

CRD#: 23131Port Jefferson Station, NY 11776

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