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MP

Mark A. Poitras

EAST END FINANCIAL GROUP
Riverhead, NY 11901
Some features on this profile are disabled
CRD#: 5574063
MP

Professional summary


Mark Andre Poitras, CFP® is a registered financial advisor currently at EAST END FINANCIAL GROUP, INC. located in Riverhead, New York and OSAIC WEALTH, INC. located in Scottsdale, Arizona.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Mark has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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. Mark A. Poitras is dually registered as an investment advisor representative ("IAR") with East End Financial Group, Inc. ("EEFG") and American Portfolios Advisors, Inc. ("APA") and as a registered representative ("RR") with American Portfolios Financial Services, Inc. ("APFS"). Mr. Poitras spends approximately 90% of his business time providing services through EEFG and the balance with APA and APFS. EAST END FINANCIAL GROUP, INC. ("EEFG") POSITION: Investment Advisor Representative ("IAR") NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 136 SECURITIES TRADING HOURS: 136 START DATE: 08/07/2017 ADDRESS: 318 Roanoke Ave, Riverhead NY 11901, DESCRIPTION: Is dually registered as an investment advisor representative ("IAR") with East End Financial Group, Inc. ("EEFG") and Osaic Wealth, Inc., and as a registered representative of Osaic Wealth, Inc. 2. Mr. Poitras is a licensed insurance agent through Kosinski Associates, Inc. ("KAI"), Non-Investment Related. POSITION: Employee NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 24 START DATE: 08/07/2017 ADDRESS: 318 Roanoke Ave, Riverhead NY 11901, DESCRIPTION: KAI is a financial brokerage firm, and Mr. Poitras is a licensed Insurance Agent through the firm. 3. Mr. Poitras has volunteered at SAG Harbor Volunteer Ambulance, located at 16C Columbia Street, Sag Harbor, NY, 11963, since 11/2004. Mr. Poitras devotes approximately 6 hours per month, zero hours during securities trading hours. Mr. Poitras is an advanced emergency technician and an instructor for the corps and Suffolk County. POSITION: Member, Director NATURE: Registered 501 (c)(3) organization INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 11/17/2004 ADDRESS: 16C Columbia Street, Sag Harbor NY 11963, 4. North Haven Village Zoning Board of Appeals, located in North Haven since 03/2007. Chairman. Mr. Poitras devotes approximately 2 hours per month, zero hours during securities trading hours. Mr Poitras hears applications from residents for variances to the North Haven Village zoning laws. 5. YOUTH HOOP OF SAG HARBOR POSITION: Coach, Board Member NATURE: 501 (c)(3) organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: PO Box 523, Sag Harbor NY 11963, DESCRIPTION: Coach youth basketball, assist in fundraising efforts, and volunteer for activities. Additionally, I perform Board of Directors duties, which include team selection, league administration, and other logistical items for the league. 6. NORTH HAVEN VILLAGE ZONING BOARD OF APPEALS POSITION: Chairman of the Zoning Board of Appeals NATURE: Government INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2007 ADDRESS: 335 Ferry Road, Sag Harbor NY 11963, DESCRIPTION: The board hears applications from residents of the village for variances to the North Haven Village zoning code. 7. SAG HARBOR LIONS CLUB NATURE: Charity - 501C3 INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2013 ADDRESS: PO Box 158, Sag Harbor NY 11963, DESCRIPTION: I am a member of the club where we engage in numerous community service initiatives. Some of these include providing aid to seniors, raising eyesight awareness to combat blindness, sponsoring community events and supporting other local charities. POSITION: I am the Chair of our Scholarship Selection Committee, where we select three graduating seniors from our local high school to receive a scholarship toward college.

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Mark Andre Poitras's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD


Click below to view Mark Andre Poitras'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®

Start date: 2012

Experience


Current

August 16, 2017 - Present

EAST END FINANCIAL GROUP, INC.

Office #1: 318 Roanoke Ave, Riverhead, NY 11901
RIA
CRD#: 110584
Riverhead, NY
Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255Office #2: 318 Roanoke Avenue, Riverhead, NY 11901
RIA
BD
CRD#: 23131
SCOTTSDALE, AZ
Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255Office #2: 318 Roanoke Avenue, Riverhead, NY 11901
RIA
BD
CRD#: 23131
SCOTTSDALE, AZ
Past

August 29, 2017 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA
CRD#: 112697
HOLBROOK, NY
Past

August 7, 2017 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
RIVERHEAD, NY
Past

March 26, 2013 - August 7, 2017

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
HAMPTON BAYS, NY
Past

March 22, 2013 - August 7, 2017

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
HAMPTON BAYS, NY
Past

January 24, 2011 - March 14, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SOUTHAMPTON, NY
Past

January 21, 2011 - March 14, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SOUTHAMPTON, NY
Past

July 30, 2010 - January 25, 2011

OSAIC WEALTH, INC.

BD
CRD#: 23131
SAG HARBOR, NY
Past

August 1, 2008 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
HAUPPAUGE, NY
Past

August 1, 2008 - July 30, 2010

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
HAUPPAUGE, NY

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 | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | 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 PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | 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 | 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 | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | 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
Florida
(10/11/2024)
RR
Maine
(10/11/2024)
IAR
New York
(6/11/2021)
RR
New York
(10/11/2024)
RR
South Carolina
(10/11/2024)
RR
Virginia
(10/11/2024)
IAR
Wyoming
(10/11/2024)

Exams


State Security Law Exam
RR
IAR
Series 66
Date: 12/21/2010
Uniform Combined State Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | 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 PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | 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 | 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 | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | 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)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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)

Direct owners and executive officers


NamePositionCRD#
OSAIC, INC.SHAREHOLDER
CORNICK, GREGORY ALLENCEO, PRESIDENT, DIRECTOR3132991
FORD, ERINN JUNEDIRECTOR2176816
MIHAL, SHAWN MICHAELSVP, CHIEF COMPLIANCE OFFICER3262384
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR2627931

Regulatory assets under management


Total Number of Accounts797,559
AUM (Assets Under Management)$ 200,266,275,275

Disclosures


Regulatory Event50
Arbitration31
Bond7

Accountant surprise examination report


Filing DateForm ADV-E CoverForm ADV-E Report
11/14/2025
Cover Page
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.

CRD#: 23131Riverhead, NY 11901

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