Robert S Harrell

WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

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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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

Years of Experience

24 years in the financial services industry

Current & Past Employments

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

770 Paseo Camarillo Suite 130, Camarillo, CA 93010

September 1, 2023 - Present

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

770 Paseo Camarillo Suite 130, Camarillo, CA 93010

September 1, 2023 - Present

OSAIC SERVICES, INC.·CRD# 133763

RIA

Camarillo, CA

January 19, 2017 - September 1, 2023

OSAIC SERVICES, INC.·CRD# 133763

BD

Camarillo, CA

January 19, 2017 - September 1, 2023

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER·CRD# 20804

BD

Thousand Oaks, CA

January 16, 2014 - January 12, 2017

MFA WEALTH SERVICES·CRD# 169013

RIA

Thousand Oaks, CA

January 10, 2014 - March 22, 2017

LPL FINANCIAL LLC·CRD# 6413

RIA

Camarillo, CA

May 5, 2011 - January 21, 2014

LPL FINANCIAL LLC·CRD# 6413

BD

Camarillo, CA

May 5, 2011 - January 21, 2014

LIFETIME PLANNING, INC.·CRD# 111784

RIA

Camarillo, CA

September 9, 2005 - January 23, 2014

SECURITIES AMERICA, INC.·CRD# 10205

BD

Camarillo, CA

September 1, 2005 - May 12, 2011

SUNAMERICA SECURITIES, INC.·CRD# 20068

BD

Phoenix, AZ

October 2, 2002 - September 12, 2005

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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

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

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

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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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) CITADEL LAW OFFICES POS.: para legal NAT.: LLC INVEST. REL.: No # OF HRS: 4 SEC. TRADING HRS: 1 START DATE: 01/19/17 ADDR.:CAMARILLO CA 93010; DESC.: Para legal work. I collect info. from a client to give to an attorney so that the attorney can prepare a living trust. 2) ICM LENDING POS.: employee NAT.: corp. INVEST. REL.: No # OF HRS: 2 SEC. TRADING HRS: 1 START DATE: 01/19/17 ADDR.: CAMARILLO CA 93010; DESC.: It is a referral service for ICM's lending company.. 3) ENDER ENTERPRISES POS.: Managing member NAT.: LLC INVEST. REL.: No # OF HRS: 4 SEC. TRADING HOURS: 1 START DATE: 10/01/13 ADDR.: Ventura CA 93004; DESC.: manage parents LLC. It holds real-estate property. I over see the property manager and conduct banking on behalf of my parents. 4) MILLER HARRELL DEVELOPMENT LLC POS.: Managing member NAT.: LLC INVEST. REL.: No # OF HRS: 2 SEC. TRADING HOURS: 1 START DATE: 11/01/13 ADDR.: Ventura CA 93004; DESC.: manage LLC that has commercial real estate property. I oversee the Property managers and the CPA. review reports, make decisions on behalf of the owners or represent them at meetings. 5) ROTARY CLUB OF CAMARILLO POS.: District Club Service Director NAT.: I conduct philanthropic work for our community at the local, national and international level. I help other Rotarians raise money through charitable events and the proceeds go to people who have economic need. INVEST. REL.: No NO. OF HOURS: 25 SEC. TRADING HOURS: 15 START DATE: 10/10/2009 ADDR.:Camarillo CA 93010 DESC.: I help run the set up and tear down of club meetings. I assist on committee meetings. I run 1 community based event fundraiser each year in January. I run training meetings. 6) VENTURA COUNTY LEADERSHIP ACADEMY POS.: Director at Large NAT.: LLC structured as a non Profit. INVEST. REL.: No NO. OF HOURS: 8 SEC. TRADING HOURS: 0 START DATE: 3/1/21 ADDR.: Camarillo CA 93012 DESC.: I will serve a 2 year term on the Board of Directors as a member of the business community. I will attend board meeting & use my specific skills and experiences to help guide and steer the program from a management perspective. Occasionally attend training meetings and official functions. 7) ICM POS.: Advisor Representative NAT.: Corp.. INVEST. REL.: Yes NO. OF HOURS: 40 SEC. TRADING HOURS: 20 START DATE: 01/19/2017 ADDR.: CAMARILLO CA 93010 DESC.: provide life, health, disability, LTCI, and fixed annuities to prospects and clients thru various Ins. companies. 8) RENTAL INCOME POS.: owner NAT.: My family owns. This provides us with income. INVEST. REL.: No NO. OF HOURS: 1 SEC. TRADING HOURS: 0 START DATE: 03/01/2022 ADDR.: Ventura CA 93004 DESC.: We rent a house to tenants.9) ATLAS EDUCATION FOUNDATION POS.: Pres. of Board NAT.: This is a Non -Profit. INVEST. REL.: No NO. OF HOURS: 2 SEC. TRADING HOURS: 0 START DATE: 9/29/23 ADDR.: Santa Paula CA 93060 DESC.: Run board meetings for the foundation. Help to determine what grants we will apply for on behalf of the school. Work with other board member to design and implement a community fundraiser. 10) ROTARY CLUB OF CAMARILLO POS.: Past Pres. NAT.: I conduct philanthropic work for our community at the local, national and international level. I help other Rotarians raise money through charitable events and the proceeds go to people who have economic need. INVEST. REL.: No NO. OF HOURS: 10 SEC. TRADING HOURS: 5 START DATE: 10/10/2009 ADDR.: 4001 Mission Oaks Blvd, Camarillo CA 93012 DESC.: I help run the set up and tear down of club meetings. I assist on committee meetings. I run 1 community based event fundraiser each year in January. I run training meetings.10. ROBERT HARRELL POA BARBARA JO CONKLIN POSITION: POA NATURE: My mom has a cognitive impairment that she wont recover from. I am her POA and Executor of her estate INVESTMENT RELATED: Yes # OF HRS: 20 SECURITIES TRADING HRS: 4 START DATE: 6/3/26 ADDY: Santa Paula CA 93060 DESCRIPT: consult with Healthcare professionals and manage her financial estate to pay for her care.

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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

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
(9/1/2023)

IAR

Arizona
(9/1/2023)

RR

California
(9/1/2023)

IAR

California
(9/1/2023)

RR

Colorado
(9/1/2023)

RR

Florida
(9/1/2023)

RR

Georgia
(5/22/2024)

RR

Idaho
(9/1/2023)

RR

Nevada
(9/1/2023)

RR

North Carolina
(9/1/2023)

RR

Oregon
(9/1/2023)

RR

Pennsylvania
(9/1/2023)

IAR

Pennsylvania
(9/1/2023)

RR

South Carolina
(11/13/2023)

RR

Tennessee
(9/1/2023)

RR

Texas
(9/1/2023)

IAR

Texas
(5/13/2024)

RR

Virginia
(9/1/2023)

RR

Washington
(9/1/2023)

IAR

Washington
(9/1/2023)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 2002About the Series 6 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Oct 2004About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Jun 2004About the Series 24 exam

FINRA

SRO Registrations

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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Robert S Harrell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert S Harrell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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WELLS FARGO CLEARING SERVICES, LLC

CAMARILLO, CA · CRD#