Joseph H. Henegan

OSAIC WEALTH

Greenville, PA 16125

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CRD#: 1488602

Professional summary

Joseph Herbert Henegan, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Greenville, Pennsylvania.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Estate Planning

Comprehensive Financial Planni...

Education Planning

Investment Planning

Retirement Planning

Health Care

Insurance Planning

Employee and Employer Plan Ben...

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) ROYAL ALLIANCE -INVESTMENT RELATED, 377 SOUTH MAIN STREET, STE 102 GREENVILLE, PA 16125, OWNER, START DATE: 5/4/2007, 24 HRS MONTH, 24 HRS MONTHS DURING SECURITIES TRADING HRS, DBA: THRU ROYAL ALLIANCE ASSOCIATES, INC. AS A FINANCIAL ADVISOR. MANAGE INVESTMENTS AND FINANCIAL PLANNING THRU ROYAL ALLIANCE. 2) JOSEPH HENEGAN -NOT INVESTMENT RELATED, 2236 WEST STATE ROAD JAMESTOWN, PA 16134, TOWNSHIP AUDITOR, START DATE: 1/1990, 1 HR MONTH, 0 DURING SECURITIES TRADING HRS, ANNUALLY INSPECT BOOKS AND ACCOUNTS FOR LOCAL TOWNSHIP. 3) JAMESTOWN AREA SCHOOL DISTRICT FOUNDATION -NOT INVESTMENT RELATED, P.O BOX JAMESTOWN, PA 16134, TREASURER, START DATE: OCTOBER 1, 2008, 1 HR MONTH, 0 DURING SECURITIES TRADING, RECEIVE CONTRIBUTION FROM ALUMNI, DEPOSIT IN ACCOUNT, DISPERSE CHECKS FOR EXPENSES. 4) JOSEPH HENEGAN -INVESTMENT RELATED, 377 SOUTH MAIN STREET, STE 102 GREENVILLE, PA 16125, OWNER, START DATE: 6/1987, 1 HR MONTH, 1 HR MONTH DURING SECURITIES TRADING, HEALTH INSURANCE AND TRAIL COMMISION ON INSURANCE PRODUCTS SOLD BEFORE AFFILATED WITH ROYAL ALLIANCE. 5) HENEGAN FINANCIAL SERVICES POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/01/2010 ADDRESS: 320 Main St, Greenville PA 16125, United States DESCRIPTION: Sales / marketing of securities, Investment Advisory and insurance products. 6) HENEGAN FINANCIAL SERVICES POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/01/2010 ADDRESS: 320 Main St, Greenville PA 16125 DESCRIPTION: Sales / marketing of securities, Investment Advisory and insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Herbert Henegan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Herbert Henegan'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: 1989

Experience

Current

May 10, 2007 - Present

OSAIC WEALTH, INC.

Office #1: 320 Main Street, Greenville, PA 16125

RIA

CRD#: 23131

Greenville, PA

Current

May 10, 2007 - Present

OSAIC WEALTH, INC.

Office #1: 320 Main Street, Greenville, PA 16125

RIA

CRD#: 23131

Greenville, PA

Past

October 18, 2006 - May 15, 2007

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

GREENVILLE, PA

Past

March 18, 1997 - May 15, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

GREENVILLE, PA

Past

April 25, 1986 - March 21, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 25, 1986 - March 21, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(8/6/2021)

Arizona
(2/7/2011)

Arkansas
(8/11/2015)

California
(8/9/2022)

Florida
(5/10/2007)

IAR

Florida
(10/4/2016)

Indiana
(1/17/2017)

Maryland
(11/4/2014)

Nevada
(5/15/2007)

New York
(8/19/2020)

North Carolina
(7/17/2007)

Ohio
(5/15/2007)

IAR

Pennsylvania
(5/10/2007)

Pennsylvania
(5/15/2007)

Tennessee
(1/28/2021)

Texas
(9/2/2014)

IAR

Texas
(1/3/2017)

Virginia
(11/18/2016)

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: 5/20/1986

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: 4/19/1986

General Securities Representative 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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Joseph H. Henegan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Herbert Henegan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Herbert Henegan's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

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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