Frank A. Perella

OSAIC WEALTH

Saugus, MA 01906

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CRD#: 2892285

Professional summary

Frank Anthony Perella, ChFC® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Saugus, Massachusetts.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Frank has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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) ENCOMPASS FINANCIAL POSITION: Sole Proprietor NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1995 ADDRESS: 316 Central Street, Ste 3c, Saugus MA 01906, United States; DESCRIPTION: BUSINESS CONSULTANTCONDUCTING OPERATIONAL, FINANCIAL, & MARKEING ANALYSIS FOR SMALL FIRMS. 2) ENCOMPASS FINANCIAL POSITION: Sole Proprietor NATURE: SOLE PROPRIETORSHIP INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/1996; ADDRESS: 316 CENTRAL STREET, SUITE 3C, Saugus MA 01906, United States; DESCRIPTION: SELLING AND SERVICING FIXED INSURANCE PRODUCTS 3) ENCOMPASS FINANCIAL POSITION: Sole Proprietorship, NATURE: Sole Proprietorship, INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1999; ADDRESS: 316 CENTRAL STREET, SUITE 3C, Saugus MA 01906, United States; DESCRIPTION: NOTARY PUBLIC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Anthony Perella's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Frank Anthony Perella's CRS (Customer Relationship Summary).

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®

ChFC^®

Chartered Financial Consultant

Experience

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 316 Central Street Suite 3c, Saugus, MA 01906

RIA

CRD#: 23131

Saugus, MA

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 316 Central Street Suite 3c, Saugus, MA 01906

RIA

CRD#: 23131

Saugus, MA

Past

January 2, 2018 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SAUGUS, MA

Past

January 2, 2018 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SAUGUS, MA

Past

October 21, 2010 - December 31, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

DANVERS, MA

Past

October 19, 2010 - December 31, 2017

SII INVESTMENTS, INC.

CRD#: 2225

DANVERS, MA

Past

April 21, 2004 - October 21, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

SAUGUS, MA

Past

January 12, 2004 - October 21, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

SAUGUS, MA

Past

March 24, 2003 - January 12, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

March 26, 1999 - March 19, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 23, 1997 - March 26, 1999

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

July 15, 1997 - October 22, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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.

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

Florida
(1/19/2024)

IAR

Florida
(1/19/2024)

Georgia
(1/19/2024)

Illinois
(1/19/2024)

Maine
(1/19/2024)

Massachusetts
(1/19/2024)

IAR

Massachusetts
(1/19/2024)

New Hampshire
(1/19/2024)

New York
(1/19/2024)

North Carolina
(1/19/2024)

Rhode Island
(1/19/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/12/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/25/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

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	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Frank A. Perella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Anthony Perella's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Frank Anthony Perella's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

HORNOR, TOWNSEND & KENT, LLC

OSAIC WEALTH, INC.

THE INVESTMENT CENTER, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/21/1999

Series 63

Date: 7/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1998

Series 6

Date: 7/12/1997

Series 26

Date: 7/25/1997

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Contact information

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