Thomas J. Delich

OSAIC WEALTH

NEW BRIGHTON, MN 55112

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CRD#: 2999721

Professional summary

Thomas Jay Delich, who also goes by Tom Delich, is a registered financial advisor currently at OSAIC WEALTH, INC. located in New Brighton, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Delich

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) DELICH PROPERTIES POSITION: Passive Owner NATURE: Rentals INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2014 ADDRESS: 12850 Dory Avenue Apple Valley MN 55124 DESCRIPTION: Seeking to own and lease a number of commercial properties for investment purposes. His duties are limited to providing feedback on investment properties being invested in and providing capital. In addition he may have a holding account for cash and/or cash equivalents that could be invested. He would manage those holdings; (2) Beyond Our Door Global; POSITION: Board of Directors NATURE: Small Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 0.5 SECURITIES TRADING HOURS: 0 START DATE: 12/2019 ADDRESS: 12491 69th Ave N Maple Grove MN 55369; DUTIES: As a board member who has known the director of the organization for 20 years and served with him as a youth group volunteer for six years I will be offering support financially personally and helping to raise support for our missions work; (3) THOMAS DELICH POSITION: Insurance Agent NATURE: Insurance Sales - Fixed and Variable Annuities and Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 04/01/1998 ADDRESS: 708 Cleveland Ave SW, Suite 200, New Brighton MN 55112, United States DESCRIPTION: Discussing with clients the benefits or drawbacks of certain products such as Life insurance, Long Term Care and Fixed and Variable Annuities. (4) FDG PLAZA POSITION: 9% Owner NATURE: Real Estate Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2023 ADDRESS: 708 Cleveland Ave SW - Suite 200, New Brighton MN 55112, United States DESCRIPTION: I have no assigned duties as a 9% share owner of FDG Plaza. (5) CONSTANCE EVANGELICAL FREE CHURCH POSITION: Elder NATURE: Non-Profit Church INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/21/2024 ADDRESS: 16150 Crosstown Blvd NW, Andover MN 55304, United States DESCRIPTION: Serving as examples of faith, wisdom and character. Praying with and listening to attenders and members. Oversight of the pastor and staff Reviewing and Approving staff proposed budgets Meeting emotional needs of congregants Decision making and governance (6) BEYOND OUR DOOR GLOBAL POSITION: Board Member NATURE: Small Non-Profit that provides resources to the ignored and overlooked in Haiti and Africa. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2019 ADDRESS: 12491 69th Ave N, Maple Grove MN 55369, United States DESCRIPTION: As a board member who has known the director of the organization for 23 years and served with him as a youth group volunteer for six years I offer support financially personally and help to raise support for our mission work. DELICH FINANCIAL DBA DELICH WEALTH MANAGEMENT POSITION: Owner NATURE: LLC - S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 130 START DATE: 04/16/2023 ADDRESS: 708 Cleveland Ave SW - Suite 101, New Brighton MN 55112, United States DESCRIPTION: My main role with Delich Financial is as a Financial Advisor working on behalf of my clients to develop a financial plan, Implement that plan and Manage their investments. Other roles are supporting, paying for and managing staff, purchasing technology and paying bills, paying rent and maintaining compliance in the securities industry. DELICH PROPERTIES POSITION: passive owner NATURE: LLC Partnership - Own and Lease a number of commercial Properties for investment purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2014 ADDRESS: 15845 Eastbend Way, Apple Valley MN 55124, United States DESCRIPTION: Limited to providing feedback on investment properties being invested in and providing capital. In addition we have a holding account for the cash and/or cash equivalents that could be invested

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jay Delich's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jay Delich'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®

None

Experience

Current

April 26, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 708 Cleveland Avenue, Sw Suite 101, New Brighton, MN 55112

RIA

CRD#: 23131

NEW BRIGHTON, MN

Current

April 26, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 708 Cleveland Avenue, Sw Suite 101, New Brighton, MN 55112

RIA

CRD#: 23131

NEW BRIGHTON, MN

Past

April 14, 2005 - May 11, 2023

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SHOREVIEW, MN

Past

September 5, 2000 - May 11, 2023

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SHOREVIEW, MN

Past

February 2, 1998 - June 21, 2000

TCF INVESTMENTS, INC.

CRD#: 34954

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".

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

Arizona
(4/26/2023)

California
(4/26/2023)

Colorado
(4/8/2024)

District of Columbia
(4/26/2023)

Florida
(4/26/2023)

IAR

Florida
(7/28/2023)

Georgia
(4/26/2023)

Hawaii
(4/26/2023)

Illinois
(4/26/2023)

Iowa
(4/26/2023)

Kansas
(4/26/2023)

Kentucky
(4/26/2023)

Maryland
(4/26/2023)

Massachusetts
(9/10/2024)

Michigan
(11/11/2025)

Minnesota
(4/26/2023)

IAR

Minnesota
(4/26/2023)

Montana
(4/26/2023)

Nevada
(4/26/2023)

New Mexico
(4/26/2023)

New York
(4/26/2023)

North Carolina
(5/17/2023)

Ohio
(4/26/2023)

Oklahoma
(11/8/2024)

Oregon
(4/26/2023)

Pennsylvania
(4/26/2023)

South Carolina
(1/2/2024)

Tennessee
(4/26/2023)

Texas
(4/26/2023)

IAR

Texas
(12/1/2023)

Utah
(4/26/2023)

Washington
(4/26/2023)

Wisconsin
(4/26/2023)

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 66

Date: 9/11/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/31/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/1/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1998

Investment Company Products/Variable Contracts Representative 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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Delich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jay Delich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jay Delich's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TCF INVESTMENTS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2000

Series 63

Date: 2/10/1998

SIE

Date: 10/1/2018

Series 31

Date: 3/31/2009

Series 7

Date: 9/1/2000

Series 6

Date: 1/30/1998

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.

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