Erik A. Ellsworth

OSAIC WEALTH

LANCASTER, PA 17603

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CRD#: 4081917

Professional summary

Erik Arnold Ellsworth, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Lancaster, Pennsylvania.

Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Erik has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 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) AMERICAN WEALTH STRATEGY GROUP, LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 150 START DATE: 05/15/2018 ADDRESS: 325 N Queen Street, Suite 104, Lancaster PA 17603, United States DESCRIPTION: President for DBA American Wealth Strategy Group, LLC providing financial and insurance services. 2) FIXED INSURANCE POSITION: Agent NATURE: Fixed insurance including health and group benefits. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/15/2018 ADDRESS: 325 N Queen Street, Suite 104, Lancaster PA 17603, United States DESCRIPTION: Aid clients with insurance decisions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Arnold Ellsworth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Erik Arnold Ellsworth'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: 2006

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 325 N Queen St Suite 104, Lancaster, PA 17603

RIA

CRD#: 23131

LANCASTER, PA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 325 N Queen St Suite 104, Lancaster, PA 17603

RIA

CRD#: 23131

LANCASTER, PA

Past

April 1, 2022 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

LANCASTER, PA

Past

April 1, 2022 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

LANCASTER, PA

Past

August 21, 2018 - April 7, 2022

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Lancaster, PA

Past

August 21, 2018 - April 7, 2022

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Lancaster, PA

Past

January 25, 2000 - February 26, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

LANCASTER, PA

Past

January 19, 2000 - February 26, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

LANCASTER, 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

Arizona
(9/5/2023)

California
(9/5/2023)

Colorado
(9/5/2023)

Delaware
(9/1/2023)

IAR

Delaware
(3/12/2024)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Maryland
(9/1/2023)

Massachusetts
(9/5/2023)

Michigan
(9/1/2023)

New Jersey
(9/1/2023)

New York
(9/1/2023)

North Carolina
(9/5/2023)

Pennsylvania
(9/1/2023)

IAR

Pennsylvania
(9/1/2023)

South Carolina
(9/5/2023)

Texas
(9/1/2023)

IAR

Texas
(3/4/2024)

Virginia
(6/14/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 5/14/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/19/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/18/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/5/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 8/20/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/30/2004

Investment Company Products/Variable Contracts Principal 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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Firm Stability Insights

Erik A. Ellsworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Arnold Ellsworth's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Erik Arnold Ellsworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/14/2007

Series 65

Date: 9/19/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/30/2005

Series 6

Date: 1/18/2000

Series 24

Date: 5/5/2017

Series 51

Date: 8/20/2007

Series 26

Date: 6/30/2004

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.

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