Mindy M. Zatta
Professional summary
Mindy M Zatta, CFP®, who also goes by Mindy Zatta Lacock, Mindy Marie Zatta, Mindy Zatta Zatta, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Canonsburg, Pennsylvania.
Mindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mindy has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mindy M Zatta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mindy M Zatta's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2016
Experience
September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 1900 Main Street Suite 267, Canonsburg, PA 15317September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 1900 Main Street Suite 267, Canonsburg, PA 15317November 14, 2022 - September 1, 2023
OSAIC SERVICES, INC.
November 14, 2022 - September 1, 2023
OSAIC SERVICES, INC.
July 28, 2011 - November 17, 2022
OSAIC FA, INC.
September 7, 2010 - November 17, 2022
OSAIC FA, INC.
June 1, 2009 - September 13, 2010
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 16, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
April 8, 2003 - November 12, 2003
UBS FINANCIAL SERVICES INC.
January 18, 2002 - February 21, 2003
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/23/2024)
(9/1/2023)
(9/1/2023)
(6/6/2025)
(9/1/2023)
(5/16/2025)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.