Paul R. Buckley

OSAIC WEALTH

PORTLAND, ME 04101

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CRD#: 1600102

Professional summary

Paul Richard Buckley JR, who also goes by Paul Richard Buckley, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Portland, Maine.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Paul has worked at 6 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Richard Buckley

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. BGA FINANCIAL POSITION: Partner NATURE: Sub S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/14/1986 ADDRESS: 2 Portland Square, Suite 502, Portland ME 04101, United States DESCRIPTION: Insurance & annuity sales 2. VARNEY RETIREMENT SERVICES LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/05/2023 ADDRESS: 2 Portland Square, Suite 502, Portland ME 04101, United States DESCRIPTION: Partner & Shareholder - no other duties 3. VARNEY FINANCIAL POSITION: Partner NATURE: Varney Financial is a dba of Varney Retirement Services, LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 01/21/2025 ADDRESS: 2 Portland Square, Suite 502, Portland ME 04101, United States DESCRIPTION: Sales of Life, Disability, Long-Term Care Insurance as well as Annuities and Securities. 4. BGA ADVISORS POSITION: Partner NATURE: Sub-S Corp: BGA Advisor, Inc owns a 30% interest in Varney Retirement Services, LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/14/1986 ADDRESS: 2 Portland Square, Suite 502, Portland ME 04101, United States DESCRIPTION: I am a 31.34% shareholder of BGA Advisors, Inc. Duties are related to the general oversight of the company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Richard Buckley JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Paul Richard Buckley JR'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®

None

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 2 Portland Square Suite 502, Portland, ME 04101

RIA

CRD#: 23131

PORTLAND, ME

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 2 Portland Square Suite 502, Portland, ME 04101

RIA

CRD#: 23131

PORTLAND, ME

Past

October 9, 2020 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PORTLAND, ME

Past

October 9, 2020 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

PORTLAND, ME

Past

March 25, 2017 - October 13, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

PORTLAND, ME

Past

March 25, 2017 - October 13, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

PORTLAND, ME

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

PORTLAND, ME

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PORTLAND, ME

Past

June 14, 2013 - July 28, 2016

MARINER

RIA

CRD#: 151664

OVERLAND PARK,, KS

Past

October 14, 1998 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

PORTLAND, ME

Past

January 20, 1987 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

PORTLAND, ME

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

Arizona
(11/28/2023)

California
(9/1/2023)

Colorado
(9/1/2023)

Florida
(9/1/2023)

Maine
(9/1/2023)

IAR

Maine
(9/1/2023)

Massachusetts
(9/1/2023)

New Hampshire
(9/1/2023)

New Jersey
(9/1/2023)

New York
(9/1/2023)

Oregon
(9/1/2023)

Pennsylvania
(9/1/2023)

Vermont
(9/1/2023)

Virginia
(9/1/2023)

West Virginia
(9/1/2023)

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: 1/19/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 3/2/1988

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/19/1987

Investment Company Products/Variable Contracts 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.

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Firm Stability Insights

Paul R. Buckley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Richard Buckley JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Paul Richard Buckley JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MARINER

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/19/1987

SIE

Date: 10/1/2018

Series 22

Date: 3/2/1988

Series 6

Date: 1/19/1987

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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