Jeffrey Lee Oetting

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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

29 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

905 West Lincoln Avenue, Charleston, IL 61920

November 3, 2023 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

905 West Lincoln Avenue, Charleston, IL 61920

November 3, 2023 - Present

Past

FSC SECURITIES CORPORATIONPast·CRD# 7461

RIA

Charleston, IL

June 5, 2018 - November 3, 2023

FSC SECURITIES CORPORATIONPast·CRD# 7461

BD

Charleston, IL

September 22, 1998 - November 3, 2023

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

BD

Oakdale, MN

October 13, 1997 - May 27, 1998

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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. NEW AGE RECOVERY COLLECTIONS AGENCY, NOT INVESTMENT RELATED, CORP, 907 WEST LINCOLN CHARLESTON, IL 61920, OWNER, 9/1/2002, 10 HRS/MO, 1 DURING TRADING HRS, BUSINESS OWNER. 2. JM RENTALS, NOT INVESTMENT RELATED, LLC, 907 WEST LINCOLN CHARLESTON, IL 61920, PARTNER, 6/8/2005, 5 HRS/MO, 0 DURING TRADING, BUSINESS OWNER. 3. CASTLE BANK, NA LAND TRUST #2690, NOT INVESTMENT RELATED, LAND TRUST FOR CONDO PROPERTY RENTAL, 121 WEST LINCOLN HIGHWAY, DEKALB, IL 60115, PARTNER, 8/15/2009, 2 HRS/MO, 0 DURING TRADING HRS, PROPERTY OWNER. 4. PATHWAYS FINANCIAL GROUP, INVESTMENT RELATED, LLC, 5659 WEST MICHIGAN, KALAMAZOO, MI 49009, PARTICIPANT, 1/25/2010, 2 HRS/MO, 0 DURING TRADING, NO DUTIES. 5. EASTERN ILLINOIS UNIVERSITY; NOT INVESTMENT RELATED; 600 LINCOLN AVENUE, CHARLESTON, IL 61920; INSTRUCTOR; SINCE 08/15/2011; 80 HRS/MTH; 80 DURING SECURITY HOURS; ANNUALLY CONTRACTED INSTRUCTOR IN THE SCHOOL OF BUSINESS AT EASTERN IL UNIVERSITY. 6. GOO ENTERPRISES INVESTMENT RELATED: YES ADDRESS: 905 WEST LINCOLN AVENUECHARLESTON, IL 61920 POSITION: OWNER/SOLE SHAREOWNER START DATE: 08/01/2014 HOURS: 5 SECURITY HOURS: 1 BRIEF DESCRIPTION OF DUTIES: BUSINESS OWNER/MANAGER 7. BOB OETTING & ASSOCIATES, LLC POSITION: Member/Owner NATURE: LLC (includes insurance sales and service) INVESTMENT RELATED: Yes NUMBER OF HOURS: 220 SECURITIES TRADING HOURS: 120 START DATE: 02/15/2016 ADDRESS: 905 W. Lincoln Ave., Charleston IL 61920, United States DESCRIPTION: Owner/manager and producer/sales 8. HONEST ABE TERRITORY INSURANCE SERVICES, INC. POSITION: Co-Owner NATURE: S-Corp. Insurance agency I bought in 2019 after the sudden death of the agency owner. I own 51% so that all provider contracts and commissions flow through Bob Oetting & Associates LLC. There is no investment activity done or marketed through this entity but this agency does have potential as the clients are very large farmers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2019 ADDRESS: 112 S. Broadway, P.O. Box 439, Newman IL 61942, United States DESCRIPTION: Oversight of other owners who are a husband and wife. They lack the agency size to maintain carrier contracts. I give support or advice as called upon to help them grow there family agency. 9. GOO RENTALS LLC POSITION: Owner NATURE: Limited Liability Company INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2003 ADDRESS: 905 W. LINCOLN AVE., Charleston IL 61920, United States DESCRIPTION: Own and manage commercial real estate. 10. OETTING FINANCIAL SERVICES POSITION: Other - Producer NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 09/27/2010 ADDRESS: 905 West Lincoln Avenue, Charleston, IL 61920, CHARLESTON IL 61920, United States DESCRIPTION: Registered Representative

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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

Arizona
(11/3/2023)

RR

California
(2/13/2024)

RR

Colorado
(11/3/2023)

RR

Florida
(11/3/2023)

RR

Illinois
(11/3/2023)

IAR

Illinois
(11/3/2023)

RR

Indiana
(11/3/2023)

RR

Kentucky
(6/1/2026)

RR

Massachusetts
(2/13/2024)

RR

Missouri
(11/3/2023)

RR

Montana
(11/3/2023)

RR

Tennessee
(5/20/2024)

RR

Texas
(11/3/2023)

RR

Virgin Islands
(5/20/2024)

RR

Wisconsin
(11/6/2024)

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.