MO
Myron A. Owens
OSAIC WEALTH
Omaha, NE 68154
Some features on this profile are disabled
CRD#: 1928140
MO
Professional summary
Myron Anthony Owens, ChFC®, CLU®, who also goes by Mike Owens, Myron A Owens, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Omaha, Nebraska.
Myron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Myron has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Owens | Myron A Owens
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. STRATEGIC LEGACY ADVISORS POS: Pres NATURE: DBA name INVESTMENT RELATED: Yes HRS: 140 SEC TRADING HRS: 80 START DATE: 3/1/01 ADDY Omaha, NE 68154 DESCRIPT: Financial planning, special emphasis on succession, income/estate tax 2. JMO MGMT INC POS: Pres/Owner NATURE: Corp INVESTMENT RELATED: No HRS: 3 SEC TRADING HRS: 0 START DATE: 7/19/17 ADDY: Omaha, NE 68144 DESCRIPT :some writing of checks from various entities we are involved in to pay the management fees to this entity 3. STRATEGIC RISK MANAGEMENT GROUP INC POS: Pres NATURE: S Corp INVESTMENT RELATED: Yes HRS: 20 SEC TRADING HRS: 10 START DATE: 8/10/89 ADDY: Omaha, NE 68510 DESCRT: spend some time on estate, income tax & ltc planning. I do about 75 Federal and State income tax returns & design the fixed life insurance contracts that we broker through various independent sources. 4. RMD GROUP LLC POS: Managing Partner NATURE: Ownership INVESTMENT RELATED: Yes HRS: 2 SEC TRADING HRS: 1 START DATE: 6/6/14 ADDY: , Omaha, NE 68154 DESCRIPT: Entity for the purpose of owning the office building where our office is, A few other tenants pay us rent 5. STRATEGIC PLANNING PARTNERS POS: Managing Partner NATURE: LLC INVESTMENT RELATED: No HRS: 1 SEC TRADING HRS: 1 START DATE: 1/1/98 ADDY: Omaha, NE 68510 DESCRIPTION: no real duties. My business partner, Royce Ruth handles any activity with income and expenses. 6. OWENS ENTERPRISES INC POS: Pres NATURE: S Corp INVESTMENT RELATED: No HRS: 4 SEC TRADING HRS: 1 START DATE: 3/20/15 ADDY: Omaha, NE 68022 DESCRIPT No duties other processing deposits of income and writing checks for expenses. No other management needed 7. ONE MILLION WELLS POS: Treasurer NATURE: 501(c ) 3 non profit INVESTMENT RELATED: No HRS: 1 SEC TRADING HRS: 0 START DATE: 4/1/21 ADDRESS: Round Rock, TX 78681 DESCRIPT: board member & director in advisory role. Now money mgmt or check writing at this time. I may assist from time to time in fund raising activities and "coach" on income tax issues. 8. OMAHA SKUTT CATHOLIC HIGH SCHOOL POSITION: Board Member NATURE: High School INVESTMENT RELATED: No HOURS: 2 SEC TRADING HRS: 0 START DATE: 9/1/2022 ADDRESS: 3131 South 156th Street, Omaha, NE 68130 DESCRIPT: I serve as a board member 9. STRATEGIC TAX MANAGEMENT LLC DBA BRING & ASSOCIATES POSITION: Owner NATURE: LLC INVESTMENT RELATED: No HOURS: 5 SEC TRADING HRS: 5 START DATE: 7/1/2023 ADDRESS: 875 South 48th Street, Omaha, NE 68510 DESCRIPTION: I am a 50% owner in this company, with Royce Ruth, fellow advisor, that owns Bring and Associates, which is a bookkeeping and tax preparation company. We have two full time employees and two part time employees that were part of the business when we purch 10. ARCHDIOCESE OF OMAHA POSITION: Advisory NATURE: Church INVESTMENT RELATED: No HOURS: 1 SEC TRADING HRS: 0 START DATE: 8/20/2013 ADDRESS: 100 North 62nd Street, Omaha, NE 68132 DESCRIPTION: Quarterly review of the investment reports for the Omaha Archdiocese Education Foundation 11. ELITE BUSINESS STRATEGIES LLC POS: Managing Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HRS: 8 SECURITIES TRADING HOURS: 8 START DATE: 5/30/25 ADDRESS: 10040 Regency Circle, Suite 150, Omaha NE 68114, United States DESCRIPTION: I will provide tax advice to business owners and successful executives. We will model income tax consequences when selling a business, farm or other assets. We will counsel on the effect of taking lump sum from deferred compensation or other similar scenarios. We will show ideas that can legally reduce the income tax consequences. We will counsel on the importance of understanding topics like cost depreciation and cost segregation. We will also counsel on the use of trusts in income tax and estate planning, how to have beneficiaries structured. We will show the use of qualified opportunity zones, section 664 trusts, and the use of section 453. The firm will also prepare the necessary tax returns for trusts including 1041, 5227 and K1.
CRS (Client Relationship Summary) - RIA
Click below to view Myron Anthony Owens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Myron Anthony Owens'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®
Experience
Current
January 19, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 10831 Old Mill Rd Suite 200b, Omaha, NE 68154Office #2: 875 South 48th St, Lincoln, NE 68510RIA
BD
CRD#: 23131
Omaha, NE
Current
January 19, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 10831 Old Mill Rd Suite 200b, Omaha, NE 68154Office #2: 875 South 48th St, Lincoln, NE 68510RIA
BD
CRD#: 23131
Omaha, NE
Past
March 1, 2019 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OMAHA, NE
Past
March 1, 2019 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OMAHA, NE
Past
March 23, 2015 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
OMAHA, NE
Past
March 20, 2015 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
OMAHA, NE
Past
May 29, 2012 - February 19, 2015
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
LINCOLN, NE
Past
October 30, 2009 - February 19, 2015
GIRARD SECURITIES, INC.
BD
CRD#: 18697
LINCOLN, NE
Past
July 27, 2007 - September 17, 2010
STRATEGIC LEGACY ADVISORS, INC.
RIA
CRD#: 135786
LINCOLN, NE
Past
March 22, 2001 - July 26, 2007
QA3 FINANCIAL LLC
RIA
CRD#: 104957
LINCOLN, NE
Past
February 15, 2001 - November 5, 2009
QA3 FINANCIAL CORP.
BD
CRD#: 14754
LINCOLN, NE
Past
July 26, 1996 - February 8, 2001
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
August 1, 1995 - August 7, 1996
FIRST LINCOLN INVESTMENTS, INC.
BD
CRD#: 7076
LINCOLN, NE
Past
July 5, 1995 - August 7, 1996
FIRST LINCOLN INVESTMENTS, INC.
BD
CRD#: 7076
Past
November 23, 1993 - July 11, 1995
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
April 27, 1989 - November 11, 1993
FIRST LINCOLN INVESTMENTS, INC.
BD
CRD#: 7076
LINCOLN, NE
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
Alaska(1/19/2024)
RR
Arizona(1/19/2024)
RR
Arkansas(1/19/2024)
RR
California(1/19/2024)
RR
Colorado(1/19/2024)
RR
Florida(1/19/2024)
RR
Georgia(1/19/2024)
RR
Idaho(1/19/2024)
RR
Illinois(1/19/2024)
RR
Indiana(1/19/2024)
RR
Iowa(1/19/2024)
RR
Kansas(1/19/2024)
RR
Michigan(1/19/2024)
RR
Minnesota(1/19/2024)
RR
Missouri(1/19/2024)
RR
Nebraska(1/19/2024)
IAR
Nebraska(1/19/2024)
RR
Nevada(1/19/2024)
IAR
Nevada(1/19/2024)
RR
New York(12/19/2024)
RR
North Carolina(1/19/2024)
RR
North Dakota(6/20/2025)
RR
Ohio(1/19/2024)
RR
Oklahoma(1/19/2024)
RR
Oregon(1/19/2024)
RR
Pennsylvania(1/19/2024)
RR
South Dakota(1/19/2024)
RR
Tennessee(1/19/2024)
RR
Texas(1/19/2024)
RR
Utah(9/19/2024)
RR
Virginia(1/19/2024)
RR
Wisconsin(1/19/2024)
RR
Wyoming(1/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
