Louis B. Gottlieb

OSAIC WEALTH

Deerfield, IL 60015

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CRD#: 3054549

Professional summary

Louis B. Gottlieb, who also goes by Louis Blake Gottlieb, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Deerfield, Illinois.

Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Louis has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Louis Blake Gottlieb

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)GOTTLIEB ADVISORY GROUP, LLC, YES, 707 LAKE COOK ROAD, SUITE 108, DEERFIELD, IL 60015, PARTNER, 01/10/2007, 12, 12, ASSISTING CLIENTS WITH THEIR LIFE INSURANCE NEEDS; SALES AND SERVICE OF LIFE, LTC, AND ANNUITIES. 2)LOUIS B. GOTTLIEB POSITION: Indenepdent Financial Advisor NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2014 ADDRESS: 707 Lake Cook Road, Suite 108, Deerfield IL 60015, United States DESCRIPTION: Louis Gottlieb is a Notary Public. 3. The Delaware Valley Fairness Project POSITION: Secretary NATURE: The Delaware Valley Fairness Project is organized exclusively for charitable, religious, educational and scientific purposes, includng for such purposes: to offer programs, provide goods and services, and to make small grants to qualified individuals and organizations (i) to advance equality and justice, (ii) to support basic education and creative learning in public and private schools serving disadvantaged populations, (iii) to improve the quality of life of homeless persons, at-risk populations and those subject to discrimination, and (iv) to foster innovation, collaboration, respect and dignity in meeting the needs of the disadvantaged; the solicitation of funds, and the making of distributions to organizations that qualify as exempt organizations under section 501(c)(3) of the Internal Revenue Code or the corresponding section of any future federal tax code. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2016 ADDRESS: 1515 MARKET STREET, PHILADELPHIA PA 19102 DESCRIPTION: Duties of Secretary will be to sign and co-sign documents with the President and Executive Director; to provide general and overall guidance in how decisions are made and how charitable funds are allocated. Secretary has no access to funds and no responsibility for signing checks and no access to the management of any Delaware Valley Authority assets. 4. LOUIS B. GOTTLIEB, GOTTLIEB ADVISORY GROUP, LLC. POSITION: Partner NATURE: Limited Liability Company INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 01/10/2007 ADDRESS: 707 Lake Cook Road, Suite 108, Deerfield IL 60015, United States DESCRIPTION: Assisting clients with their life insurance needs; sales and service of life, LTC and annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis B. Gottlieb's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Louis B. Gottlieb'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

February 8, 2007 - Present

OSAIC WEALTH, INC.

Office #1: 707 Lake Cook Rd. Suite 108, Deerfield, IL 60015

RIA

CRD#: 23131

Deerfield, IL

Current

January 22, 2007 - Present

OSAIC WEALTH, INC.

Office #1: 707 Lake Cook Rd. Suite 108, Deerfield, IL 60015

RIA

CRD#: 23131

Deerfield, IL

Past

August 24, 1998 - January 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ST. LOUIS, MO

Past

June 15, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 15, 1998 - January 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ST. LOUIS, MO

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

Alabama
(1/22/2007)

IAR

Alabama
(1/27/2012)

Alaska
(9/3/2008)

IAR

Alaska
(1/30/2012)

Arizona
(1/22/2007)

Arkansas
(6/17/2010)

IAR

Arkansas
(1/30/2012)

California
(1/22/2007)

IAR

California
(1/30/2012)

Colorado
(3/12/2013)

IAR

Colorado
(3/30/2015)

Connecticut
(2/26/2015)

IAR

Connecticut
(2/27/2015)

Florida
(1/22/2007)

IAR

Florida
(2/20/2009)

Georgia
(3/12/2013)

Idaho
(6/24/2015)

Illinois
(1/22/2007)

IAR

Illinois
(2/8/2007)

Indiana
(4/28/2007)

IAR

Indiana
(1/30/2012)

Iowa
(6/24/2015)

Kentucky
(1/22/2007)

IAR

Kentucky
(2/17/2009)

Louisiana
(3/12/2008)

IAR

Louisiana
(1/30/2012)

Maine
(4/6/2023)

Maryland
(6/6/2014)

Massachusetts
(3/12/2013)

Michigan
(3/5/2008)

IAR

Michigan
(11/28/2017)

Minnesota
(3/18/2019)

Mississippi
(6/16/2015)

Missouri
(1/22/2007)

IAR

Missouri
(2/17/2009)

Nebraska
(2/16/2016)

Nevada
(3/13/2013)

New Hampshire
(6/24/2015)

New Jersey
(3/12/2013)

New Mexico
(4/6/2023)

New York
(1/22/2007)

North Carolina
(3/4/2009)

IAR

North Carolina
(1/30/2012)

North Dakota
(6/24/2015)

Ohio
(1/23/2007)

IAR

Ohio
(2/13/2009)

Oklahoma
(6/24/2015)

Oregon
(3/12/2013)

Pennsylvania
(3/12/2013)

IAR

Pennsylvania
(12/6/2016)

South Carolina
(3/12/2013)

Tennessee
(8/4/2021)

Texas
(3/12/2013)

IAR

Texas
(12/1/2023)

Vermont
(1/22/2007)

IAR

Vermont
(3/18/2009)

Virginia
(3/12/2013)

Washington
(3/12/2013)

West Virginia
(6/17/2015)

Wisconsin
(7/31/2007)

IAR

Wisconsin
(1/27/2012)

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: 8/3/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2012

General Securities 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.

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Firm Stability Insights

Louis B. Gottlieb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis B. Gottlieb's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Louis B. Gottlieb's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/12/1998

Series 24

Date: 12/29/2012

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

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