CV
Christopher L. Vazquez
OSAIC WEALTH
Manhasset, NY 11030
Some features on this profile are disabled
CRD#: 2682454
CV
Professional summary
Christopher Lee Vazquez is a registered financial advisor currently at OSAIC WEALTH, INC. located in Manhasset, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. VAZQUEZ ACQUISITIONS LLC POS: Owner NATURE: LLC INV. RELATED: HRS: 15 SEC TRD HRS: 0 START: 4/8/15 ADDY: Huntington NY 11743 DESC: owner - buy, renovate/sell real est. In the future I may decide to buy and rent props. 2. CHRISTOPHER VAZQUEZ POS: Realtor NATURE: Sole Prop INV. RELATED: Yes HRS: 4 SEC TRD HRS: 0 START: 9/10/20 ADDY: Huntington NY 11743 DESC: real est license/EXP realty. not sold any props 3. OAKFIELD WEALTH MGMT POS: Finl Advisor NATURE: LLC INV. RELATED: HRS: 160 SEC TRD HRS: 160 START: 12/31/20 ADDY: Dix Hills NY 11746 DESC: part of the group managed by Anthony Macaluso Oakfield Wealth Mgmt at Woodbury Finl. I am featured on the website. 4. HIGHLAND CAPITAL BROKERAGE POS: Agent NATURE: Sole Prop INV. RELATED: Yes HRS: 20 SEC TRD HRS: 20 START: 9/8/22 ADDY: Manhasset NY 11030 DESC: provide fixed life ins/ fixed ann Highland is a Brokerage Partner AG 5. PROSPERITY LIFE GROUP POS: Agent NATURE: Sole prop INV. RELATED: Yes HRS: 10 SEC TRD HRS: 3 START: 9/12/22 ADDY: Manhasset NY 11030 DESC: sell fixed ann /life ins/ Prosperity LIFE Group in NY, PA, NJ AND FL 6. FIS MKTG POS: Finl Advisor NATURE: Sole Prop INV. RELATED: Yes HRS: 10 SEC TRD HRS: 10 START: 10/4/22 ADDY: Islandia NY 11749 DESC: FIS Mktg 7. FINL INDEPENDENCE GROUP POS: Private Wealth Advisor NATURE: Sole Prop INV. RELATED: Yes HRS: 20 SEC TRD HRS: 2 START: 11/17/23 ADDY: Manhasset NY 11030 DESC: sell life ins, FAFIAs, disability ins/ LTC ins 8. MAGELLAN FINL POS: Private Wealth Advisor NATURE: sole prop INV. RELATED: Yes HRS: 20 SEC TRD HRS: 2 START: 1/11/24 ADDY: Manhasset NY 11030 DESC: sell life ins, FA, FIA , disability ins/LTC ins to my prospects and clients at Woodbury Finl/Osaic Wealth 9. STRATEGIC EDUCATION TECHNOLOGIES A/K/A SET POS: Private Wealth Advisor NATURE: Sole Prop INV. RELATED: Yes HRS: 20 SEC. TRADING HRS: 5 START: 3/7/24 ADDY: Manhasset NY 11030 DESC: sell life ins, FAs, FIAs, disability ins/ LTC ins 10. CHRIS VAZQUEZ POS: Owner NATURE: Sole Prop INV. RELATED: No NUMBER HRS: 20 SEC. TRADING HRS: 0 START: 3/7/24 ADDY: Huntington NY 11743 DESC: Provide information to college-bound students and their parents. Services are fulfilled by 3rd party professional education company The College Planning Network, LLC 11. CAMPUS BOUND PLANNING LLC POSITION: Owner NATURE: LLC INV. RELATED: HRS: 20 SEC. TRADING HRS: 0 START: 3/7/24 ADDY: Huntington NY 11743 DESC: Provide info to college-bound students 12.CMAC ENTERPRISES LLC - DBA BACKYARD FIXTURES POS: Co-Founder NATUR: E-Commerce LLC INV. RELATED: HRS: 40 SEC. TRADING HRS: 0 START: 7/23/24 ADDY: Manhasset NY 11030 DESC: E-commerce store 13. LIFE BROKERAGE POS: Agent NATURE: Sole Propr INV. RELATED: Yes HRS: 20 SEC. TRADING HRS: 20 START: 10/28/24 ADDY: Manhasset NY 11030 DESC: provide fixed life ins, LTC, disability ins, fixed ann 14. SIMPLICITY POS: Ins Agent NATURE: Sole Prop INV. RELATED: Yes HRS: 10 SEC. TRADING HRS: 10 START: 11/7/24 ADDY: Manhasset NY 11030 DESC: Sales /fixed life ins products 15. TRENDSETTERS TRADING LLC POSITION: Member NATURE: LLC INV. RELATED: No NUMBER HRS.: 20 SEC. TRADING HRS.: 0 START: 11/08/2024 ADDRESS: 57 Manchester Rd, Huntington NY 11743 DESC: The company is with my wife Gladys Vazquez. It is an online e-commerce company. We sell goods online on Amazon 16. NEAT STREET CLEANERS POSITION: CEO NATURE: LLC INV. RELATED: No NUMBER HRS.: 20 SEC. TRADING HRS.: 0 START: 05/09/2025 ADDRESS: 57 Manchester Rd, Huntington NY 11743 DESC: Starting a remote cleaning business. Will facilitate cleaning residences &businesses. I will hire independent cleaners to perform the job 17. PLATINUM PRO CLEANERS LLC POSITION: CEO NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SEC. TRADING HRS: 0 START DATE: 05/09/2025 ADDRESS: 57 Manchester Rd, Huntington NY 11743, United States DESCRIPTION: Starting a remote cleaning business. Will facilitate the cleaning of residences & businesses. I will hire independent cleaners to perform the job
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Lee Vazquez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Lee Vazquez'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®
NoneExperience
Current
January 19, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1615 Northern Blvd Suite 304, Manhasset, NY 11030RIA
BD
CRD#: 23131
Manhasset, NY
Current
January 19, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1615 Northern Blvd Suite 304, Manhasset, NY 11030RIA
BD
CRD#: 23131
Manhasset, NY
Past
October 16, 2020 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MANHASSET, NY
Past
October 10, 2020 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MANHASSET, NY
Past
February 10, 2016 - August 28, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
BAYSIDE, NY
Past
February 8, 2016 - August 28, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
BAYSIDE, NY
Past
March 31, 2011 - February 1, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIDDLE VILLAGE, NY
Past
March 31, 2011 - February 1, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
MIDDLE VILLAGE, NY
Past
August 6, 2010 - March 24, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
August 6, 2010 - March 24, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
December 15, 2009 - August 13, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
LONG ISLAND CITY, NY
Past
December 15, 2009 - August 13, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
LONG ISLAND CITY, NY
Past
December 22, 2008 - December 11, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
FREEPORT, NY
Past
December 19, 2008 - December 11, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FREEPORT, NY
Past
June 17, 2008 - December 18, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKE SUCCESS, NY
Past
June 10, 2008 - December 18, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LAKE SUCCESS, NY
Past
March 4, 2008 - June 9, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEW ROCHELLE, NY
Past
March 4, 2008 - June 9, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW ROCHELLE, NY
Past
January 4, 2007 - March 4, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
NEW YORK, NY
Past
January 3, 2007 - March 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
NEW YORK, NY
Past
April 7, 2004 - December 20, 2006
IFMG SECURITIES, INC.
RIA
CRD#: 14416
NEW YORK, NY
Past
March 30, 2004 - December 20, 2006
IFMG SECURITIES, INC.
BD
CRD#: 14416
NEW YORK, NY
Past
August 29, 2003 - March 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MIAMI, FL
Past
August 11, 2003 - March 25, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 11, 2003 - March 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Connecticut(2/23/2024)
RR
Florida(1/19/2024)
RR
Georgia(1/19/2024)
IAR
Georgia(1/19/2024)
RR
New Jersey(1/19/2024)
IAR
New Jersey(1/19/2024)
RR
New York(1/19/2024)
IAR
New York(1/19/2024)
RR
Pennsylvania(1/19/2024)
IAR
Pennsylvania(1/19/2024)
RR
Virginia(1/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
