Joseph J. Ossey

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CRD#: 5551907

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph John Ossey, AIF®, who also goes by Joseph J Ossey, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2008. Joseph had worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph J Ossey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

January 3, 2025 - June 9, 2025

WELLTH ADVISORY SERVICES, LLC

RIA

CRD#: 330537

Plainfield, IL

Past

May 20, 2024 - June 6, 2024

CAPTRUST

RIA

CRD#: 175112

Plainfield, IL

Past

May 10, 2022 - February 27, 2024

WINTRUST INVESTMENTS LLC

RIA

CRD#: 875

CHICAGO, IL

Past

May 3, 2022 - February 27, 2024

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

October 8, 2019 - January 31, 2022

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

ELGIN, IL

Past

September 6, 2018 - January 31, 2022

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEWTON, MA

Past

July 20, 2017 - May 10, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Elgin, IL

Past

July 20, 2017 - May 10, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

December 19, 2016 - June 16, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Schaumburg, IL

Past

December 19, 2016 - June 16, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Schaumburg, IL

Past

September 29, 2014 - October 5, 2016

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DOWNERS GROVE, IL

Past

September 29, 2014 - October 5, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

July 11, 2014 - August 22, 2014

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

CHICAGO, IL

Past

July 11, 2014 - August 22, 2014

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

CHICAGO, IL

Past

February 24, 2012 - July 1, 2014

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DOWNERS GROVE, IL

Past

February 14, 2012 - July 1, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

October 13, 2011 - February 1, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

July 22, 2010 - September 26, 2011

MORGAN STANLEY

RIA

CRD#: 149777

LISLE, IL

Past

December 3, 2009 - September 26, 2011

MORGAN STANLEY

CRD#: 149777

LISLE, IL

Past

November 26, 2008 - November 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LISLE, IL

Past

October 2, 2008 - November 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LISLE, IL

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".

WELLTH ADVISORY SERVICES, LLC

STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2008

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: 10/1/2008

General Securities Representative Examination

Current Firm

WELLTH ADVISORY SERVICES, LLC

STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

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Contact information

Main Address

Shorewood, IL

Mailing Address

Phone number

(866) 777-4015

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELLTH ADV WRAP BROCHURE (3/31/2025)

WELLTH ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,338
AUM (Assets Under Management)	$ 23,574,040,155

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

Joseph J. Ossey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPTRUST

WINTRUST INVESTMENTS LLC

WINTRUST INVESTMENTS LLC

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS BROKER DEALER SERVICES, LLC

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

LOCKTON INVESTMENT ADVISORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WELLTH ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2008

Current Firm

WELLTH ADVISORY SERVICES, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLTH ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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