JP

Judith S Plain

OSAIC WEALTH

PITTSFORD, NY

·CRD# 3202035·27 years experience

Professional Summary

Judith S Plain is a registered financial advisor currently at OSAIC WEALTH, INC. located in Pittsford, New York. Judith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Judith has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

1. 1159 Pittsford-victor Rd Suite 230, Pittsford, NY 145342. Honeoye, NY

November 3, 2023 - Present

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

1159 Pittsford-victor Rd Suite 230, Pittsford, NY 14534

November 3, 2023 - Present

FSC SECURITIES CORPORATION·CRD# 7461

RIA

Pittsford, NY

May 10, 2018 - November 3, 2023

FSC SECURITIES CORPORATION·CRD# 7461

BD

Pittsford, NY

December 1, 2016 - November 3, 2023

CADARET, GRANT & CO., INC.·CRD# 10641

BD

West Henrietta, NY

January 31, 2013 - December 1, 2016

HSBC SECURITIES (USA) INC.·CRD# 19585

BD

Avon, NY

January 1, 2005 - July 18, 2012

HSBC BROKERAGE (USA) INC.·CRD# 6956

BD

New York, NY

April 13, 1999 - January 1, 2005

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Current Firm

OW

OSAIC WEALTH, INC.

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

RIA

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

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
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
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

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

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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) TIM PLAIN ENTERPRISES, LLC, HONEOYE FALLS, NY, RENTAL PROPERTY, SECRETARY-TREASURER 2008 TO PRESENT. 2 HRS PER MONTH - 0 DURING TRADING TIME; ALTERNATIVES FOR BATTERED WOMEN, ROCHESTER, NY, SHELTERING AND ADVISING WOMEN IN ABUSIVE RELATIONSHIPS, ADVISOR, START 7/13, COUNSEL ON BANKING, BUDGETING, FINANCIAL MANAGEMENT, LESS THAN 1% OF TIME DEVOTED TO ACTIVITY; 2) FIRST PRESBYTERIAN CHURCH OF HONEOYE FALLS POSITION: Treasurer NATURE: religious non profit 501(c)3 INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 27 N. Main St., Honeoye Falls NY 14472 DESCRIPTION: volunteer; Treasurer; reconcile monthly bank statements; prepare budget reports; P & L ; Balance sheet reports monthly; NO signing authority 3) JUDITH PLAIN POSITION: owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2017 ADDRESS: 1159 Pittsford Victor Rd., Ste 230, Pittsford NY 14534, United States DESCRIPTION: utilizing insurance products for clients based on need 4) FREEDOM FINANCIAL PLANNING, LLC POSITION: Owner/Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 130 START DATE: 11/13/2013 ADDRESS: 1159 pittsford victor rd, Ste 230, pittsford NY 14534, United States DESCRIPTION: client relationship management; investment management; personnel oversight; facilities oversight; cfo 5) TIM PLAIN ENTERPRISES, LLC POSITION: owner NATURE: Construction Project Manager; oversees renovations and remodeling for select clients. Company is filed as a LLC; 50% owner INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/08/2008 ADDRESS: 5829 Sweet Pea LN, Honeoye NY 14471, United States DESCRIPTION: work with architects; building inspectors; contractors; sub contractors; supply vendors to oversee renovations to residential clients. 6) JUDITH PLAIN POSITION: Notary Public NATURE: Notary Public qualified in the State of NY. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1990 ADDRESS: 1159 Pittsford Victor Rd, Ste230, Pittsford NY 14534, United States DESCRIPTION: provide notary services for documents that require notarization; notarize on average less than one document per month.

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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".

OW

OSAIC WEALTH, INC.

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

RIA

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

BD

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(9/17/2025)

RR

California
(11/3/2023)

RR

District of Columbia
(11/3/2023)

RR

Florida
(11/3/2023)

IAR

Florida
(11/3/2023)

RR

Illinois
(4/1/2026)

RR

Kentucky
(4/13/2026)

RR

Maine
(4/1/2026)

RR

Maryland
(4/25/2024)

RR

Michigan
(12/24/2024)

RR

New Hampshire
(8/9/2024)

RR

New Jersey
(11/3/2023)

RR

New Mexico
(11/3/2023)

RR

New York
(11/3/2023)

IAR

New York
(11/3/2023)

RR

North Carolina
(11/3/2023)

IAR

North Carolina
(9/25/2024)

RR

Ohio
(11/3/2023)

RR

Oklahoma
(11/3/2023)

RR

Pennsylvania
(11/3/2023)

RR

South Carolina
(4/15/2024)

RR

Texas
(11/3/2023)

IAR

Texas
(11/3/2023)

RR

Utah
(4/1/2026)

RR

Vermont
(11/3/2023)

RR

Virginia
(12/19/2023)

RR

Washington
(6/25/2024)

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.