Rashida Lilani
OSAIC WEALTH | Founder / President
ROSEVILLE, CA 95661
Some features on this profile are disabled
CRD#: 4459698
Professional summary
Rashida Lilani, CFP®, CPWA®, who also goes by Rashida Husain, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Roseville, California.
Rashida is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Rashida has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Biography
Early in her career, Rashida realized that to offer comprehensive financial guidance to her clients at all stages of their lives, she needed to transition from being a generalist to a specialist. Armed with advanced designations such as Certified Financial Planner™ and Certified Private Wealth Advisor™, and boasting over 24 years of industry experience, she possesses the expertise and education required to assist her clients with a myriad of significant financial matters.
Rashida's personal journey as an immigrant to the U.S. and a single mother equips her with additional insight and real-life wisdom. This unique perspective allows her to guide her clients and their families in creating, managing, and preserving wealth.
Beyond guidance, Rashida recognizes that clients also require a supportive and proactive partnership with their advisor. With this vision in mind, she founded Lilani Wealth Management in 2007. The firm is commemorating its 17th year in business and remains dedicated to providing the highest level of objective, unbiased, and holistic financial planning, along with investment services.
Rashida holds a BS in Business Administration/Finance from California State University Northridge, as well as a BA in Mathematics from St. Joseph’s College. Committed to giving back, she is involved in several pro bono projects offering financial planning services to the disadvantaged. Currently serving as the President of the Peninsula Estate Planning Council and President-Elect of the Financial Planning Association, Northern California chapter, Rashida has also contributed her expertise to the boards of Blue Line Arts and the Executive Women’s Golf Association.
In her leisure time, Rashida enjoys traveling with her husband, playing golf, tending to her yard, and more recently, honing her drawing skills.
Question & Answer
What are your service offerings?
Insurance Planning
Investment Planning
Education Planning
Comprehensive Financial Planni...
Divorce Planning
Retirement Income Management
Retirement Planning
Tax Planning
Do you have an area of expertise or specialization?
Comprehensive Financial Planni...
Attending College
401(k)/403(b)/IRAs
Buying a Home
Charitable & Planned Giving
Annuities
Asset Allocation
Career Change
Business Taxes
Disaster Recovery
Investment Management
Getting Divorced
Employee Benefits
Irregular Income
Mutual Funds
Getting Married
Job Loss
Minority Financing
Insurance
Retirement
Life Planning
Startup
Succession Planning
Starting a Family
Long-term Care
Medical & Health Issues
Sudden Wealth
Nontraditional Households
Special Needs
Personal Taxes
Women's Finances
Are you a "fiduciary"?
Yes
Aliases
Rashida Husain
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.
**Securities America Advisors Position: IAR Nature: Invest Advisory Services Invest Related: Yes Start: 12/16 Address: 1624 SANTA CLARA DR STE 160 ROSEVILLE CA 95661 **RASHIDA LILANI POSITION: Insurance Agent NATURE: Insurance sales INVEST RELATED: No #HRS: 5 SEC. TRADE HRS: 5 START: 1/16 ADDRESS: 1624 Santa Clara Dr Ste 160 Roseville CA 95661 **SULTAN A LILANI AND RASHIDA LILANI REVOCABLE TRUST POSITION: Trustee NATURE: Family revocable trust. INVEST RELATED: No #HRS: 0 SEC. TRADE HRS: 0 START: 8/08 ADDRESS: 5017 Brower Ct Granite Bay CA 95746 **PENINSULA ESTATE PLANNING COUNCIL POSITION: Secretary NATURE: Serving as officer on the board of the Peninsula Estate Planning Council. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2021 ADDRESS: 951 Mariners Island Blvd, Suite 300, San Mateo CA 94404 DESCRIPTION: I am the Secretary and will be providing services affiliated with that position. The term began in May 2021 and will end May 2023. I will be taking minutes during the meeting. This is the excerpt from the Articles of Association: The duties of Secretary shall be to keep, or cause to be kept, a book of minutes of the meetings of the membership and of the Board of Directors; to keep a register showing the names and addresses of the members and Board of Directors; to give notice of the meetings of the Council and meetings of the Board of Directors. **FINANCIAL PROFESSIONAL GROUP POSITION: Agent NATURE: Working with a general insurance agency, Financial Professional Group, to provide life and ltc insurance benefits to clients. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/03/2022 ADDRESS: 26741 Portola Pkwy, #1E-639, Foothill Ranch CA 92610 DESCRIPTION: Through their online quoting system, I get multiple quotes to present to clients for term and / or ltc insurance. Once clients are ready to apply, I fill out an online application on the FPG site. They then contact the client to schedule medical exam. **FPA OF NC POSITION: President Elect NATURE: Professional group: Financial Planning Association of Northern California. I will be the incoming President Elect as of January 1, 2024 of this organization and will step in as President on January 1, 2025. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: P O box 583231, Elk Grove CA 95758 DESCRIPTION: This is a volunteer position for a professional group. I will be assisting the current President with planning and managing monthly meetings and hosting other events. **LILANI WEALTH MANAGEMENT INC. POSITION: President and CEO NATURE: This is the S-Corp for my business. Advisory fees are paid into this account. I also pay all my bills, including payroll for employees from this account. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2023 ADDRESS: 1624 Santa Clara Drive, Suite 160, Roseville CA 95661, United States DESCRIPTION: Practice management related duties, such as employee hiring/management, paying bills and payroll, and general office duties.
CRS (Client Relationship Summary) - RIA
Click below to view Rashida Lilani's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rashida Lilani'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®
CFP®
Start date: 2005
CPWA®
Start date: 2017-04-17
Expire date: 2023-03-31
Experience
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1624 Santa Clara Dr Suite #160, Roseville, CA 95661RIA
BD
CRD#: 23131
ROSEVILLE, CA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1624 Santa Clara Dr Suite #160, Roseville, CA 95661RIA
BD
CRD#: 23131
ROSEVILLE, CA
Past
December 9, 2016 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ROSEVILLE, CA
Past
December 8, 2016 - December 9, 2016
ARBOR POINT ADVISORS
RIA
CRD#: 165127
LAVISTA, NE
Past
December 8, 2016 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ROSEVILLE, CA
Past
March 29, 2010 - December 8, 2016
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
Santa Clara, CA
Past
January 19, 2007 - September 21, 2007
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
Santa Clara, CA
Past
January 19, 2007 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
Santa Clara, CA
Past
August 5, 2003 - January 25, 2007
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
ROSEVILLE, CA
Past
May 29, 2003 - February 16, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
ROSEVILLE, CA
Past
February 26, 2002 - January 25, 2007
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
ROSEVILLE, CA
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 | 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 SECURITIES | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMERICAN ADVISORS | 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 | ALLIANT FINANCIAL SOLUTINOS | 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 | AFC PLANNING GROUP | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVISOR SERVICE GROUP LLC WEALTH MANAGEMENT | 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
Arizona(6/14/2024)
RR
California(6/14/2024)
IAR
California(6/14/2024)
RR
Colorado(6/14/2024)
RR
Florida(6/14/2024)
RR
Idaho(6/14/2024)
RR
Iowa(6/14/2024)
RR
Kentucky(6/14/2024)
RR
Louisiana(6/14/2024)
RR
Nevada(6/14/2024)
RR
New York(6/14/2024)
RR
Oregon(6/14/2024)
RR
Tennessee(6/14/2024)
RR
Washington(6/14/2024)
RR
Wisconsin(6/14/2024)
RR
Wyoming(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | 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 SECURITIES | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMERICAN ADVISORS | 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 | ALLIANT FINANCIAL SOLUTINOS | 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 | AFC PLANNING GROUP | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVISOR SERVICE GROUP LLC WEALTH MANAGEMENT | 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.
Company Information
OSAIC WEALTH, INC.
Founder / PresidentCRD#: 23131Roseville, CA 95661TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
