Steven Barry Tuttle

LPL FINANCIAL LLC

BRENHAM, TX · CRD#

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

MORGAN STANLEY

MADISON, CT · CRD#

Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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MORGAN STANLEY

MADISON, CT · CRD#

Years of Experience

31 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

North Royalton, OH

November 2, 2018 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

North Royalton, OH

November 2, 2018 - Present

Past

SIGNATOR INVESTORS, INC.Past·CRD# 468

RIA

North Royalton, OH

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.Past·CRD# 468

BD

North Royalton, OH

May 13, 2016 - November 2, 2018

TRANSAMERICA FINANCIAL ADVISORS, LLCPast·CRD# 16164

RIA

North Royalton, OH

May 20, 2005 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLCPast·CRD# 16164

BD

North Royalton, OH

May 18, 2005 - May 13, 2016

WALNUT STREET SECURITIES, INC.Past·CRD# 15840

BD

El Segundo, CA

March 23, 1995 - June 6, 2005

VANTAGE FINANCIAL GROUP, INC.Past·CRD# 105950

RIA

Cleveland, OH

June 21, 2002 - January 3, 2005

WALNUT STREET ADVISERS INCPast·CRD# 109903

RIA

Independence, OH

September 4, 2001 - December 31, 2003

Similar Advisors

LPL FINANCIAL LLC

BRENHAM, TX · CRD#

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

MORGAN STANLEY

MADISON, CT · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

OW

OSAIC WEALTH, INC.

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)

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

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
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
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. TUTTLE INSURANCE & FINANCIAL SERVICES, 9435 LANGDON LANE, N ROYALTON, OH, SOLE PROPRIETOR, INVESTMENT RELATED-YES, 12/1993-PRESENT. 200 HRS/MO, ALL TRADING HRS, DBA NAME USED TO MARKET THE SALE OF FIXED INS & INVESTMENT PRODUCTS............. 2. THE NORTH ROYALTON YMCA POSITION: Co-Chairman of the Board NATURE: Branch of the Greater Cleveland YMCA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2001 ADDRESS: 11409 State Rd, North Royalton OH 44133, United States DESCRIPTION: Fundraising, guidance and advice 3. PARMA RIDGEWOOD YMCA POSITION: Currently C0-Chairman of the Advisory Board NATURE: Closed branch of the Greater Cleveland YMCA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2001 ADDRESS: 11409 State Rd, Norht Royalton OH 44133, United States DESCRIPTION: Fundraising, guidance and advice 4. STEVEN B TUTTLE POSITION: Contributor NATURE: I was asked to submit a story to an author who is writing a book on ultrarunning experiences. The author is including my story in her book. There are around 45 people who provided stories. I found out on April 28, 2020, that the author will be paying us each part of the royalty. The royalty will come from the author, not the publisher. My cut is 3 cents per copy. The book title is "Run to Save Your Life" by Amy Mower. The publisher is Kindle Direct Publishing. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/28/2020 ADDRESS: 9435 Langdon Ln, North Royalton OH 44133, United States DESCRIPTION: I had already written the story for another running page on Facebook. I cleaned the story up and when Amy Mower asked for contributors, I sent her the story about 6 months ago. I did not know she was using it until she contacted me on April 28, 2020 and didn't know she wanted to compensate any of the contributors. 5. THE NORTH ROYALTON YMCA POSITION: Current Advisory Board Member NATURE: Branch of the Greater Cleveland YMCA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2001 ADDRESS: 11409 State Rd, North Royalton OH 44133, United States DESCRIPTION: Fundraising, guidance and advice 6. PARMA RIDGEWOOD YMCA POSITION: Current Member of the Advisory Board NATURE: Closed branch of the Greater Cleveland YMCA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2001 ADDRESS: 11409 State Rd, Norht Royalton OH 44133, United States DESCRIPTION: Fundraising, guidance and advice 7. STEVEN B TUTTLE POSITION: Contributor NATURE: I was asked to submit a story to an author who is writing a book on ultrarunning experiences. The author is including my story in her book. There are around 45 people who provided stories. I found out on April 28, 2020, that the author will be paying us each part of the royalty. The royalty will come from the author, not the publisher. My cut is 3 cents per copy. The book title is "Run to Save Your Life" by Amy Mower. The publisher is Kindle Direct Publishing. The author now gives any proceeds to a pancreatic cancer research, I have never rec'd a royalty but I am still considered a contributor. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/28/2020 ADDRESS: 9435 Langdon Ln, North Royalton OH 44133, United States DESCRIPTION: I had already written the story for another running page on Facebook. I cleaned the story up and when Amy Mower asked for contributors, I sent her the story about 6 months ago. I did not know she was using it until she contacted me on April 28, 2020 and didn't know she wanted to compensate any of the contributors.

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