Patricia Ann Cocozza

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Contact Information

Email

xxxxx@xxxx.xxx

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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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Years of Experience

31 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. Centereach, NY2. 38 Kings Highway, Hauppauge, NY 11788

April 26, 2021 - Present

FIRST FINANCIAL SERVICESCurrent·CRD# 125551

RIA

38 Kings Highway, Hauppage, NY 11788

April 30, 2023 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

38 Kings Highway, Hauppauge, NY 11788

October 23, 2017 - Present

Past

NATIONAL PLANNING CORPORATIONPast·CRD# 29604

BD

Hauppauge, NY

September 5, 2003 - October 23, 2017

WALNUT STREET SECURITIES, INC.Past·CRD# 15840

BD

El Segundo, CA

August 1, 2003 - September 10, 2003

NATHAN & LEWIS SECURITIES, INC.Past·CRD# 8503

BD

New York, NY

October 11, 1995 - August 1, 2003

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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

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

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (11/6/2026)

SIGNATOR MANAGED ACCOUNT PLATFORM (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. MID-ISLAND TAX POSITION: Secretary of Corp/ Enrolled Agent NATURE: S Corp INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2000 ADDRESS: 38 Kings Highway, Hauppauge NY 11788, United States DESCRIPTION: Prepare individual and small business tax returns. 2. PATRICIA COCOZZA POSITION: Notary Public NATURE: sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1990 ADDRESS: 8 Rosa Court, Centereach NY 11720, United States DESCRIPTION: Notarize documents as needed FIRST FINANCIAL SERVICES POSITION: investment advisor NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/07/1999 ADDRESS: 38 Kings Highway, Hauppauge NY 11788, United States DESCRIPTION: i am covered under First Financial Services outside RIA. However, I have never done any advisory business. 3. PATRICIA A COCOZZA LLC POSITION: Owner NATURE: Sole Proprietorship Single Member LLC INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 8 Rosa Court, Centereach NY 11720, United States DESCRIPTION: Provide Bookkeeping services for several clients. Duties included, entering transactions, reconciling accounts, cutting checks for Bills (no signing authority on any clients that are not family), processing payroll, payroll taxes and qtrly payroll and sales tax returns. 4. WILLIAM A RUSSELL INC D/B/A FIRST FINANCIAL SERVICES POSITION: investment advisor/President NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/07/1999 ADDRESS: 38 Kings Highway, Hauppauge NY 11788, United States DESCRIPTION: I only provide pension consulting for 1 plan and the very rare and occasional financial plan. 5. GEORGE SUCICH ASSOCIATES, INC. POSITION: administrative assistant NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/23/2017 ADDRESS: 38 Kings Highway, Hauppague NY 11788, United States DESCRIPTION: occasional assistant with processing business for client, answering client questions, sending funds. 6. BEACON CAPITAL MANAGEMENT POSITION: administrative NATURE: corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/23/2017 ADDRESS: 38 Kings Highway, Hauppauge NY 11788, United States DESCRIPTION: occasional assistance with processing business for clients, answering client questions, sending funds 7. WILLIAM A RUSSELL INC DBA FIRST FINANCIAL SERVICES POSITION: President NATURE: s corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 08/12/1988 ADDRESS: 38 Kings Highway, Hauppauge NY 11788, United States DESCRIPTION: I am the President and Compliance officer overseeing the financial business done through osaic.

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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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alaska
(12/2/2024)

RR

Arizona
(1/6/2021)

RR

California
(1/6/2021)

RR

Colorado
(1/6/2021)

RR

Connecticut
(10/23/2017)

RR

Delaware
(1/6/2021)

RR

Florida
(8/6/2020)

IAR

Florida
(9/3/2024)

RR

Georgia
(1/6/2021)

RR

Illinois
(9/16/2026)

RR

Maine
(10/23/2017)

RR

Maryland
(1/6/2021)

RR

Massachusetts
(10/23/2017)

RR

Michigan
(4/17/2025)

RR

Missouri
(6/3/2025)

RR

Nevada
(10/26/2023)

RR

New Jersey
(10/23/2017)

RR

New York
(10/23/2017)

IAR

New York
(4/26/2021)

RR

North Carolina
(1/4/2019)

IAR

North Carolina
(1/6/2025)

RR

Ohio
(6/3/2025)

RR

Oregon
(10/23/2017)

RR

Pennsylvania
(10/23/2017)

RR

South Carolina
(1/6/2021)

RR

Tennessee
(6/16/2023)

RR

Texas
(1/6/2021)

RR

Utah
(1/6/2021)

RR

Vermont
(1/6/2021)

RR

Virginia
(10/23/2017)

RR

Washington
(3/3/2026)

RR

West Virginia
(6/25/2025)

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.