Royce Todd Ruth

H.S. FINANCIAL, INC.

SAN DIEGO, CA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

EDWARD JONES

Temecula, CA · CRD#

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

Years of Experience

30 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

875 South 48th St, Lincoln, NE 68510

January 19, 2024 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

875 South 48th St, Lincoln, NE 68510

January 19, 2024 - Present

Past

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

RIA

Lincoln, NE

March 1, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

BD

Lincoln, NE

March 1, 2019 - January 19, 2024

QUESTAR CAPITAL CORPORATIONPast·CRD# 43100

BD

Lincoln, NE

March 26, 2015 - March 1, 2019

QUESTAR ASSET MANAGEMENT, INC.Past·CRD# 133358

RIA

Lincoln, NE

March 25, 2015 - March 1, 2019

GIRARD SECURITIES, INC.Past·CRD# 18697

RIA

Lincoln, NE

February 17, 2012 - February 19, 2015

GIRARD SECURITIES, INC.Past·CRD# 18697

BD

Lincoln, NE

October 30, 2009 - February 19, 2015

STRATEGIC LEGACY ADVISORS, INC.Past·CRD# 135786

RIA

Lincoln, NE

July 27, 2007 - September 17, 2010

QA3 FINANCIAL CORP.Past·CRD# 14754

BD

Lincoln, NE

February 9, 2001 - November 5, 2009

QA3 FINANCIAL LLCPast·CRD# 104957

RIA

Lincoln, NE

March 22, 2001 - July 26, 2007

CINCINNATI ANALYSTS, INC.Past·CRD# 5478

BD

Cincinnati, OH

March 6, 1997 - February 8, 2001

Similar Advisors

H.S. FINANCIAL, INC.

SAN DIEGO, CA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

EDWARD JONES

Temecula, CA · CRD#

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · 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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H.S. FINANCIAL, INC.

SAN DIEGO, CA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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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) STRATEGIC LEGACY ADVISORS POSITION: Owner NATURE: Marketing organization and DBA for securities business. Owner of 33.3% of this Sub-S corporation; Mike Owens owns 33.3% and Dwain Owens owns 33.3%. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/24/1999 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Marketing of securities and financial planning. 2) STRATEGIC RISK MANAGEMENT GROUP INC. POSITION: Owner NATURE: S-corporation deriving income from renewals of fixed insurance products. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 08/10/1989 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Marketing of fixed life insurance and client policy reviews. 3) STRATEGIC PLANNING PARTNERS POSITION: Partner NATURE: LLC owned 50% by me and 50% by financial advisor Mike Owens. Entity owns our Lincoln office building, manages overhead expenses for our securities and fixed insurance business, and pays office staff. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1998 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Manage office income and expenses. 4) RMD GROUP POSITION: Owner NATURE: 1/3 owner of this Sub-S corporation. Entity owns our Omaha office building and receives rent from other tenants. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/06/2014 ADDRESS: 10831 Old Mill Road, Omaha NE 68154, United States DESCRIPTION: No daily duties; entity owns our office building. 5) ROYCE RUTH LIVESTOCK POSITION: Owner NATURE: Owner/operator; buy and sell personally raised livestock (cattle). INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/10/1993 ADDRESS: 11901 West McKelvie Road, Malcolm NE 68402, United States DESCRIPTION: Buying and selling personally owned cattle that I have raised. 6) RJ RUTH ENTERPRISES, INC POSITION: Owner NATURE: Pass through entity for commissions from fixed insurance, long term care insurance and flow through for securities commissions paid. Payroll to employees. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Owner of this entity which is a pass through entity for my fixed life insurance, long term care insurance and flow through for securities commissions and then I use this income to pay for my business expenses. So I manage the income and expenses of this entity. Payroll for employees. 7) STRATEGIC TAX MANAGEMENT LLC, DBA BRING AND ASSOCIATES POSITION: Owner NATURE: LLC; 100% owner of Bring and Associates, a bookkeeping and tax preparation company. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2023 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Business has two full-time and two part-time employees. During tax season, I may complete a few tax returns. Otherwise, my primary role is reviewing and advising staff. I do not expect to spend more than 5 hours per month in any capacity. 8) RUTH WEALTH MANAGEMENT LLC POSITION: Registered Representative NATURE: LLC, DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/14/2026 ADDRESS: 875 S 48th St, Lincoln NE 68510, United States DESCRIPTION: DBA

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