Joshua A. Dobi

OSAIC WEALTH

Pittsburgh, PA 15220

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CRD#: 3175327

Professional summary

Joshua Alan Dobi, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Pittsburgh, Pennsylvania.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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. SHUA DOBI, INDEPENDENT INSURANCE SALES POSITION: Agent/Rep/Sole Proprietorship NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20% SECURITY TRADING HOURS: 20% START DATE: 01/1999 ADDRESS: DESCRIPTION: My DBA is Dobi Financial Group, LLC. It is a financial services firm engaged in insurance and securities business through me. I work it as a full time job. 2. NORTH MECKLENBURG ROTARY CLUB POSITION: Board Member NATURE: non-profit; INV RELATED: No; HRS: 1; SEC HRS: 0; 10/20/2014; 20901 N Main St, Cornelius NC 28031; Board members manage the affairs of the club, which include: fundraising and volunteering in the community. 3. NORTH MAIN FINANCIAL GROUP LLC; POSITION: President NATURE: LLC INV RELATED: Yes HRS: 160 SEC HRS: 160 START DATE: 04/25/2018; ADDRESS: 20901 N Main St, Cornelius NC 28031; DESCRIPTION: I am the owner of this DBA. We conduct securities and insurance-related business using this DBA as our marketing. 4. NOVANT HEALTH FOUNDATION POSITION: Board Member; NATURE: charitable organization; INV RELATED: No; HRS: 1; SEC HOURS: 1 START DATE: 04/01/2018 ADDRESS: 20901 N Main St, Cornelius NC 28031 DESCRIPTION: I, with our other board members, provide feedback to the Foundation staff about fundraising, organizational management, and marketing efforts 5. NORTH MAIN CAPITAL LLC POSITION: Owner; NATURE: LLC INV RELATED: No; HRS: 0; SEC HRS: 0; 01/01/2016 ADDRESS: 20901 N. Main St, Cornelius NC 28031 DESCRIPTION: No duties - this is a dormant entity 6. NORTH MAIN FINANCIAL GROUP LLC POSITION: Financial Advisor; NATURE: property & casualty insurance to our clients; INV RELATED: Yes; HRS: 4; SEC HRS: 4 START DATE: 06/15/2020 ADDRESS: 20901 N. Main Street, Cornelius NC 28031 DESCRIPTION: As licensed P&C professionals, we will offer P&C insurance to our clients, utilizing IPCG as the independent broker/agent to manage the process from application to claim management 7. CHARLOTTE INDEPENDENCE SOCCER CLUB POSITION: Director on the BOD NATURE: This is a regional soccer youth soccer organization. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2023 ADDRESS: 10228 Bailey Road, Suite 203, Cornelius NC 28031, United States DESCRIPTION: Provide strategic feedback for the employees and staff of the organization 8.LAKE NORMAN WOMAN MAGAZINE POSITION: Silent Partner/Investor NATURE: LLC Local community magazine focused on women in our region INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2024 ADDRESS: P.O. Bo 1000, Cornelius NC 28031, United States DESCRIPTION: Silent Partner/Investor 9. CAIN CENTER FOR THE ARTS - BOARD OF ADVISORS POSITION: Board Member NATURE: As Board members for the Cain Center for the Arts reach their term limit, they are sometimes asked to sit on a non-voting board of advisors to provide strategic support to the formal Board. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2025 ADDRESS: 21348 Catawba Avenue, Cornelius NC 28031, United States DESCRIPTION: Non-voting advisory board to the formal Board of Directors for the Cain Center for the Arts

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Alan Dobi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joshua Alan Dobi'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 790 Holiday Drive Foster Plaza 11 2nd Floor, Pittsburgh, PA 15220Office #2: 20901 N. Main Street, Cornelius, NC 28031

RIA

CRD#: 23131

Pittsburgh, PA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 790 Holiday Drive Foster Plaza 11 2nd Floor, Pittsburgh, PA 15220Office #2: 20901 N. Main Street, Cornelius, NC 28031

RIA

CRD#: 23131

Pittsburgh, PA

Past

June 28, 2010 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PITTSBURGH, PA

Past

October 31, 2008 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

PITTSBURGH, PA

Past

January 30, 2003 - June 16, 2011

T & D ADVISORS INCORPORATED

RIA

CRD#: 123240

PITTSBURGH, PA

Past

February 2, 1999 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PITTSBURGH, PA

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

Alaska
(9/1/2023)

Arizona
(9/1/2023)

Arkansas
(3/11/2024)

California
(9/1/2023)

Colorado
(9/1/2023)

Connecticut
(9/1/2023)

Delaware
(9/1/2023)

District of Columbia
(9/1/2023)

Florida
(9/1/2023)

IAR

Florida
(9/1/2023)

Georgia
(9/1/2023)

Illinois
(9/1/2023)

Indiana
(9/1/2023)

Kansas
(9/1/2023)

Louisiana
(9/1/2023)

Maryland
(9/1/2023)

Massachusetts
(9/1/2023)

Michigan
(9/1/2023)

Minnesota
(9/1/2023)

Missouri
(9/1/2023)

Montana
(9/1/2023)

Nevada
(9/1/2023)

New Hampshire
(9/1/2023)

IAR

New Hampshire
(9/1/2023)

New Jersey
(9/1/2023)

New Mexico
(9/1/2023)

New York
(9/1/2023)

North Carolina
(9/1/2023)

IAR

North Carolina
(9/1/2023)

Ohio
(9/1/2023)

Oregon
(9/1/2023)

Pennsylvania
(9/1/2023)

IAR

Pennsylvania
(9/1/2023)

Rhode Island
(9/1/2023)

South Carolina
(9/1/2023)

South Dakota
(9/1/2023)

Tennessee
(9/1/2023)

Texas
(9/1/2023)

IAR

Texas
(9/26/2024)

Utah
(9/1/2023)

Vermont
(9/1/2023)

Virginia
(9/1/2023)

Washington
(9/1/2023)

IAR

Washington
(9/1/2023)

West Virginia
(9/1/2023)

Wisconsin
(9/1/2023)

Wyoming
(9/1/2023)

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 65

Date: 9/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1999

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: 2/1/1999

General Securities 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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Joshua A. Dobi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Alan Dobi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joshua Alan Dobi's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

T & D ADVISORS INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2002

Series 63

Date: 3/3/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1999

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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