RW
Richard E. Wilson
OSAIC WEALTH
SCOTTSDALE, AZ 85255
Some features on this profile are disabled
CRD#: 3251241
RW
Professional summary
Richard Eugene Wilson II, who also goes by Richard E (ii) Wilson, Rick Wilson, Richard Wilson, Richard E Wilson II, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard E (ii) Wilson | Rick Wilson | Richard Wilson | Richard E Wilson Ii
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) Real Estate Ownership; Commercial; 3369 Crater Lake Hwy, , Medford, OR, 97504; Investment-Related; 04/02/2021. Independent Insurance Brokering; Principal; 12/06/2005; Fixed Annuity / Voya; 12/31/2021; . Business Ownership; Strategic Capital Management; manage financial advisory practice; LLC used for financial practice management; 755 NE 6th Street, , Grants Pass, OR, 97526; Not Investment-Related; 10/12/2009; 1 to 9 hours per month; 0 during trading hours / RNC Strategies LLC; manage assets owned by LLC; LLC used to manage finances of financial advisory practice being purchased; 755 NE 6th Street, , Grants Pass, OR, 97526; Not Investment-Related; 11/02/2020; 60 hours per month; 60 during trading hours. Board of Directors; Boys & Girls Clubs of the Rogue Valley; Board Member; 203 SE 9th StreetGrants Pass, OR 97526, ,; Not Investment-Related; 07/15/2014; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; RNC Strategies LLC; owner/member - Administrative, management and supervisory tasks as needed for franchise; practice management activities ; 755 NE 6th Street, , Grants Pass, OR, 97526; Not Investment-Related; 02/01/2023; 60 hours per month; 60 during trading hours. Other Business Activities; The 401k Checkup Prescription for Success; author financial book on 401k plans. marketing approval #1510226; 3425 Leonard RdGrants Pass, OR 97527, ,; Investment-Related; 03/03/2016; 1 to 9 hours per month; 0 during trading hours / Track Pack & other car design modifications; looking to possibly start promoting and selling custom car items one of which is patent pending.; 3425 Leonard Road, , Grants Pass, OR, 97527; Not Investment-Related; 09/01/2022; 1 to 9 hours per month; 0 during trading hours. 2) STRATEGIC CAPITAL MANAGEMENT POS: Owner/member NAT: single member LLC operating as an S-corp for the operations of my practice INVEST RELATED: Yes NO. OF HRS: 100 SECURITIES TRADING HRS: 80 START DATE: 10/12/2009 ADDR: 755 NE 6th Street, Grants Pass OR 97526, United States DESC: LLC used for the financial practice management. 3) TRACK PACK & OTHER CAR DESIGN MODIFICATIONS POS: patent holder & designer NAT: patent on a device for transporting tires, tools and fuel to the racetrack and other items created to modify cars INVEST RELATED: No NO. OF HRS: 0 SECURITIES TRADING HRS: 0 START DATE: 09/01/2022 ADDR: 3425 Leonard Rd, Grants Pass OR 97527, United States DESC: create and potentially patent items for use with vehicles or to modify them 4) RNC STRATEGIES LLC POS: Owner/member NAT: LLC partnership INVEST RELATED: Yes NO. OF HRS: 100 SECURITIES TRADING HRS: 80 START DATE: 10/12/2009 ADDR: 755 NE 6th Street, Grants Pass OR 97526, United States DESC: LLC used to manage finances of the financial advisory practice. we also took out a loan for practice acquisition thru this entity. Our employees are hired and paid thru this entity. 5) THE 401K CHECKUP PRESCRIPTION FOR SUCCESS POS: author NAT: sole prop as author of a book INVEST RELATED: No NO OF HRS: 0 SECURITIES TRADING HRS: 0 START DATE: 03/03/2016 ADDR: 3425 Leonard Rd, Grants Pass OR 97527, United States DESC: authored a book 6) R&C WILSON TRUST POS: owner NAT: real estate that we own and lease to ourselves and an additional tenant INVEST RELATED: No NO OF HRS: 5 SECURITIES TRADING HRS: 0 START DATE: 04/02/2021 ADDR: 3369 Crater Lake Hwy suite 101, Medford OR 97504, United States DESC: own and operate this commercial real estate 7) INSURANCE POS: Insurance Agent NAT: Insurance INVEST RELATED: Yes NO OF HRS: 1 SECURITIES TRADING HRS: 1 START DATE: 12/06/2005 ADDR: 755 NE 6th Street, Grants Pass OR 97526, United States DESC: insurance sales and service 8) BOYS & GIRLS CLUBS OF THE ROGUE VALLEY BOARD MEMBER POS: board member NAT: non-profit board INVEST RELATED: No NO OF HRS: 3 SECURITIES TRADING HRS: 1 START DATE: 07/15/2014 ADDR: 203 SE 9th Street, Grants Pass OR 97526, United States DESC: serve on the board and finance committee
CRS (Client Relationship Summary) - RIA
Click below to view Richard Eugene Wilson II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Eugene Wilson II's 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®
NoneExperience
Current
October 6, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N Hayden Road Suite 255, Scottsdale, AZ 85255Office #2: 755 Ne 6th Street, Grants Pass, OR 97526Office #3: 1200 Mira Mar Ave, Medford, OR 97504Office #4: 1813 W Harvard Ave, Roseburg, OR 97471Office #5: 3369 Crater Lake Hwy Suite 101, Medford, OR 97504RIA
BD
CRD#: 23131
SCOTTSDALE, AZ
Current
October 6, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N Hayden Road Suite 255, Scottsdale, AZ 85255Office #2: 755 Ne 6th Street, Grants Pass, OR 97526Office #3: 1200 Mira Mar Ave, Medford, OR 97504Office #4: 1813 W Harvard Ave, Roseburg, OR 97471Office #5: 3369 Crater Lake Hwy Suite 101, Medford, OR 97504RIA
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 3, 2017 - October 24, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Grants Pass, OR
Past
February 3, 2012 - October 24, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Grants Pass, OR
Past
September 7, 2009 - February 8, 2012
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
GRANTS PASS, OR
Past
September 4, 2009 - February 8, 2012
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
GRANTS PASS, OR
Past
December 20, 2007 - September 8, 2009
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
RIA
CRD#: 1254
GRANTS PASS, OR
Past
May 9, 2001 - September 8, 2009
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
GRANTS PASS, OR
Past
August 17, 1999 - May 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/6/2025)
RR
Arizona(10/6/2025)
RR
California(10/6/2025)
RR
Colorado(10/6/2025)
RR
Florida(10/6/2025)
IAR
Florida(10/14/2025)
RR
Georgia(10/6/2025)
RR
Idaho(10/6/2025)
RR
Kentucky(10/6/2025)
RR
Maryland(10/6/2025)
RR
Minnesota(10/6/2025)
RR
Missouri(10/6/2025)
RR
Montana(10/6/2025)
RR
Nevada(10/6/2025)
RR
New Hampshire(10/6/2025)
RR
New Jersey(10/6/2025)
RR
New York(10/6/2025)
RR
North Carolina(11/3/2025)
RR
North Dakota(10/6/2025)
RR
Oklahoma(10/6/2025)
RR
Oregon(10/6/2025)
IAR
Oregon(10/6/2025)
RR
Pennsylvania(10/6/2025)
RR
Texas(10/6/2025)
IAR
Texas(10/6/2025)
RR
Utah(10/6/2025)
RR
Virginia(10/6/2025)
RR
Washington(10/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
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)
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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)
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.
