Alan M. Ginsberg

OSAIC WEALTH

PENFIELD, NY 14526

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CRD#: 2591507

Professional summary

Alan Marc Ginsberg, who also goes by Alan Ginsberg, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Penfield, New York.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Alan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Ginsberg

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. SECURITY MUTUAL LIFE OF NEW YORK POSITION: General Agent - Rochester NATURE: General Agent for Security Mutual Life of New York - Rochester NY OFFICE INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 40 START DATE: 08/01/2014 ADDRESS: 100 Court ST., suite 4, Binghamton NY 13902, United States DESCRIPTION: General Agent - Sales and Service Life Insurance products. Work With Agents on Whole Life, Universal Life and Fixed Annuities Career agent with Security Mutual Life since 04/1985 2. KAFL POSITION: Sales Broker NATURE: Life Insurance Broker - Non Security Mutual Life Insurance Products. Fixed Annuities, Term Life Products and Guaranteed UL Products INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/1990 ADDRESS: 800 Linden Ave, Rochester NY 14625, United States DESCRIPTION: Outside Insurance Broker I use for Non compatible Products with Security Mutual Life. Look for Better Pricing on term and Fixed annuities 3. A.M.GINSBERG ADVISORY GROUP LLC POSITION: Owner NATURE: Securities America Advisors - Position: IAR - Nature: Investment Advisory Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 09/01/2016 ADDRESS: 421 Penbrooke Drive, Suite 4, Penfield NY 14526 DESCRIPTION: Financial Sales and Service to Individual. Portfolio design. Fee Based and Commission based. 4. SOCIETY OF FINANCIAL SERVICE PROFESSIONALS POSITION: Membership NATURE: Member. Rochester NY INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/08/2018 ADDRESS: 10 East Athens Ave, Ste. 224, Ardmore PA 19003 DESCRIPTION: Attending webinars and zooms. 5. TEMPLE BETH EL MENS CLUB POSITION: VP General Meeting NATURE: temple beth el mens club - Mens Group that Serves The temple for social activities and charitable Giving causes. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2022 ADDRESS: 139 Winton Rd, Rochester NY 14610 DESCRIPTION: Programming events and Sunday breakfast meetings. 6. TEMPLE BETH EL MENS CLUB POSITION: General Member NATURE: temple beth el mens club - Men's Group that Serves The temple for social activities and charitable Giving causes. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2022 ADDRESS: 139 Winton Rd, Rochester NY 14610 DESCRIPTION: No Longer involved in Board Activities 7. JEWISH FEDERATION OF GREATER ROCHESTER POSITION: Committee Member estate planning and charitable giving NATURE: Religious Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: 255 East Ave, Rochester NY 14604, United States DESCRIPTION: Committee Member for estate planning and Charitable giving. Help with Planning for annual Guest speaker. 8. A.M. GINSBERG ADVISORY GROUP POSITION: Owner/ General Agent NATURE: General Agent for Security Mutual Life Ins co of NEW YORK Life Insurance and Fixed Annuity Sales and Service. INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 36 START DATE: 04/15/1985 ADDRESS: 421 Penbrooke drive, suite 4, Penfield NY 14526, United States DESCRIPTION: Sales and Service of Life Insurance and Fixed Annuities. General Agent for Security Mutual Life Ins co of NY - Rochester Office 9. SOCIETY OF FINANCIAL SERVICE PROFESSIONALS POSITION: Membership NATURE: Professional Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/08/2018 ADDRESS: 1000 Wilson Blvd, Ste. 1890, Arlington VA 22209, United States DESCRIPTION: Attending webinars and zooms.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Marc Ginsberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alan Marc Ginsberg'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

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 421 Penbrooke Drive Suite 4, Penfield, NY 14526

RIA

CRD#: 23131

PENFIELD, NY

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 421 Penbrooke Drive Suite 4, Penfield, NY 14526

RIA

CRD#: 23131

PENFIELD, NY

Past

September 23, 2016 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

PENFIELD, NY

Past

September 23, 2016 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

PENFIELD, NY

Past

August 11, 2004 - September 23, 2016

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

PENFIELD, NY

Past

April 5, 1995 - September 23, 2016

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

PENFIELD, 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".

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
(6/14/2024)

Colorado
(6/14/2024)

Delaware
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(6/14/2024)

Georgia
(6/14/2024)

Illinois
(1/30/2025)

Indiana
(6/14/2024)

Iowa
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

IAR

Massachusetts
(6/14/2024)

Michigan
(6/14/2024)

Nebraska
(6/14/2024)

New York
(6/14/2024)

IAR

New York
(6/14/2024)

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

Oklahoma
(6/14/2024)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

Vermont
(6/14/2024)

Virginia
(6/14/2024)

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

IAR

Series 65

Date: 9/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/1995

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: 10/19/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/4/1995

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Alan M. Ginsberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Marc Ginsberg's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alan Marc Ginsberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2001

Series 63

Date: 4/17/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2010

Series 6

Date: 4/4/1995

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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