Mario Livecchi

OSAIC WEALTH

PRINCETON, NJ 08540

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CRD#: 5168607

Professional summary

Mario Livecchi is a registered financial advisor currently at OSAIC WEALTH, INC. located in Princeton, New Jersey.

Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mario has worked at 7 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. Princeton Investment Services, Investment Related, Conducted from 116 Village Blvd, Suite 200, Princeton, NJ 08540. The nature of the Outside Business Activity (OBA) is DBA/Fixed Insurance, my position in the organization is Financial Executive, the duties of this position are dba/fixed insurance. 06/2011 was the start of the relationship with the other business and 8 hours are devoted to the other business per week and 160 of hours are devoted to the other business during securities trading hours per month. 2. MARIO LIVECCHI POSITION: Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/17/2020 ADDRESS: 116 Village Blvd., Suite 200, Princeton NJ 08540, United States DESCRIPTION: Insurance Sales 3. PRINCETON INVESTMENT SERVICES POSITION: Financial Executive NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 175 START DATE: 04/25/2011 ADDRESS: 116 Village Blvd., Suite 200, Princeton NJ 08540, United States DESCRIPTION: Financial Advisor though my B/D Osaic.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Livecchi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mario Livecchi'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

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 116 Village Blvd Suite 200, Princeton, NJ 08540

RIA

CRD#: 23131

PRINCETON, NJ

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 116 Village Blvd Suite 200, Princeton, NJ 08540

RIA

CRD#: 23131

PRINCETON, NJ

Past

July 17, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

PRINCETON, NJ

Past

July 17, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

PRINCETON, NJ

Past

June 28, 2011 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

PRINCETON, NJ

Past

June 27, 2011 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

PRINCETON, NJ

Past

May 29, 2008 - May 6, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PRINCETON, NJ

Past

May 29, 2008 - May 6, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PRINCETON, NJ

Past

December 19, 2006 - May 16, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

VOORHEES, NJ

Past

September 19, 2006 - May 16, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

VOORHEES, NJ

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

California
(6/14/2024)

Colorado
(3/6/2025)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Illinois
(6/14/2024)

Iowa
(6/14/2024)

Kentucky
(6/14/2024)

Maryland
(6/14/2024)

Michigan
(6/14/2024)

New Jersey
(6/14/2024)

IAR

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Pennsylvania
(6/14/2024)

IAR

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Virginia
(6/14/2024)

Wyoming
(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

IAR

Series 66

Date: 12/18/2006

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: 9/14/2006

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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Advisor Monitoring

Firm Stability Insights

Mario Livecchi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Livecchi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mario Livecchi's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2006

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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