Philip E. Gose

OSAIC WEALTH

West Des Moines, IA 50266

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CRD#: 3259213

Professional summary

Philip Edmund Gose is a registered financial advisor currently at OSAIC WEALTH, INC. located in West Des Moines, Iowa.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Philip has worked at 5 firms and has passed the Series 66, 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. GOSE FARMS INC. - FAMILY FARM OWN 4%. MINORITY SHAREHOLDER OWN SINCE 1986 NOT ACTIVE IN MANAGEMENT. JEFFERSON, IOWA UNDER $10,000 ANN COMP CORP RIA - FSC SECURITIES CORPORATION4. IND RIA - INSURANCE BUSINESS - YES DBA= CAPITAL RESOURCE MANAGEMENT 2. CAPITAL RESOURCE MANAGEMENT POSITION: OWNER - NATURE: LIMITED LIABILITY COMPANY - INVESTMENT RELATED: YES NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2005 ADDRESS: 3737 WOODLAND AVE. STE. 500 WEST DES MOINES, IOWA 50266, WEST DES MOINES IA 50266 DESCRIPTION: OWNER OF FINANCIAL SERVICES COMPANY OFFERING COMPREHENSIVE PLANS. 3. CYCLONE GRIDIRON CLUB POSITION: BOARD MEMBER NATURE: CHARITABLE ORGANIZATION INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2015 ADDRESS: PO BOX 93592, DES MOINES IA 50393 DESCRIPTION: GO TO MEETINGS AND PROVIDE INPUT AS NEEDED TO THE MEMBERSHIP. 4. GOSE FARMS INC. POSITION: Shareholder - Minority NATURE: S Corp INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1980 ADDRESS: 1310 K. Ave., Jefferson IA 50129, United States DESCRIPTION: Meet once per year discussing farm operations 5. SAGE SETTLEMENT CONSULTING POSITION: consultant, broker, financial planner NATURE: Sage Settlements Consulting assists plaintiffs who receive sums of money via an agreement reached between an injured party and defendant. Sage Settlements offers planning advice and product implementation that allows claimants to budget, safeguard, and maximize their settlement funds. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/01/2019 ADDRESS: 3421 Bannerman Road, Ste. 204, Tallahassee FL 32312, United States DESCRIPTION: Coordinating with Sage to obtain settlement quotes and, if needed, incorporating quotes into a cash flow/retirement plan for claimants. 6. TIMBER VIEW FARM POSITION: Member Partner NATURE: LLC that owns personal farm ground. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2022 ADDRESS: 26876 Acorn Ridge Drive, Adel IA 50003, United States DESCRIPTION: No duties. Simply a holding company for land I inherited from my father this year. Farm collects rent from land tenant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Edmund Gose's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Philip Edmund Gose'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

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 3737 Woodland Avenue Suite 500, West Des Moines, IA 50266

RIA

CRD#: 23131

West Des Moines, IA

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 3737 Woodland Avenue Suite 500, West Des Moines, IA 50266

RIA

CRD#: 23131

West Des Moines, IA

Past

April 20, 2005 - December 11, 2020

DIVERSIFIED FINANCIAL ADVISORY GROUP, INC.

RIA

CRD#: 115236

WEST DES MOINES, IA

Past

April 14, 2005 - November 3, 2023

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WEST DES MOINES, IA

Past

April 14, 2005 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

WEST DES MOINES, IA

Past

July 17, 2002 - April 18, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 7, 2000 - April 18, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

WEST DES MOINES, IA

Past

September 23, 1999 - April 18, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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
(11/3/2023)

Arizona
(11/3/2023)

Arkansas
(11/3/2023)

California
(7/24/2025)

Colorado
(11/3/2023)

Florida
(11/3/2023)

Georgia
(11/3/2023)

Illinois
(11/3/2023)

Iowa
(11/3/2023)

IAR

Iowa
(11/3/2023)

Kansas
(11/3/2023)

Kentucky
(11/3/2023)

Minnesota
(11/3/2023)

Missouri
(11/3/2023)

Nebraska
(11/3/2023)

IAR

Nebraska
(11/3/2023)

North Carolina
(11/3/2023)

IAR

North Carolina
(11/3/2023)

South Dakota
(11/3/2023)

Tennessee
(11/3/2023)

Texas
(11/3/2023)

IAR

Texas
(11/3/2023)

Wisconsin
(11/3/2023)

IAR

Wisconsin
(11/3/2023)

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 66

Date: 7/23/1999

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: 9/22/1999

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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Philip E. Gose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Edmund Gose's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Philip Edmund Gose's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

DIVERSIFIED FINANCIAL ADVISORY GROUP, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

OSAIC FA, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/22/1999

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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