Brett R. Komm

OSAIC WEALTH

BUFFALO, NY 14226

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CRD#: 5777744

Professional summary

Brett Robert Komm is a registered financial advisor currently at OSAIC WEALTH, INC. located in Buffalo, New York.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Brett has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 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. LANDLORD POSITION: Homeowner NATURE: Homeowner for rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2018 ADDRESS: 192 Euclid Ave, Kenmore NY 14217, United States DESCRIPTION: Maintain residence and fix property when needed. 2. NOVA WEALTH LLC POSITION: Wealth Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 02/13/2023 ADDRESS: 100 Corporate Parkway Suite 320, Amherst NY 14226, United States DESCRIPTION: Nova Wealth is the team name for which business with Osaic will be done under. 3. BRETT KOMM INSURANCE PRODUCER POSITION: Insurance Producer NATURE: Insurance Producer INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 03/01/2010 ADDRESS: 100 Corporate Parkway Suite 320, Amherst NY 14226, United States DESCRIPTION: Licensed in life and health insurance. Offer life insurance and annuity products to clients if there is a need.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Robert Komm's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brett Robert Komm'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

October 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 100 Corporate Pkwy Ste 320, Buffalo, NY 14226

RIA

CRD#: 23131

BUFFALO, NY

Current

October 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 100 Corporate Pkwy Ste 320, Buffalo, NY 14226

RIA

CRD#: 23131

BUFFALO, NY

Past

June 20, 2019 - October 16, 2024

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

CHEEKTOWAGA, NY

Past

June 19, 2019 - October 16, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CHEEKTOWAGA, NY

Past

July 11, 2017 - June 24, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA

CRD#: 164663

Cheektowaga, NY

Past

April 21, 2010 - June 24, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

CHEEKTOWAGA, 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".

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

Arizona
(10/14/2024)

California
(10/14/2024)

Colorado
(10/14/2024)

Florida
(10/14/2024)

IAR

Florida
(2/20/2025)

Georgia
(10/14/2024)

Illinois
(10/14/2024)

Indiana
(10/14/2024)

Kansas
(10/14/2024)

Maryland
(10/14/2024)

Massachusetts
(10/14/2024)

Michigan
(10/14/2024)

Nevada
(10/14/2024)

New Jersey
(10/14/2024)

New York
(10/14/2024)

IAR

New York
(10/14/2024)

North Carolina
(10/16/2024)

Ohio
(10/14/2024)

Oregon
(10/14/2024)

Pennsylvania
(10/14/2024)

Puerto Rico
(10/14/2024)

South Carolina
(10/29/2024)

Texas
(10/14/2024)

IAR

Texas
(10/15/2024)

Virginia
(10/14/2024)

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 65

Date: 6/17/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/20/2010

Investment Company Products/Variable Contracts 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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Brett R. Komm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Robert Komm's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brett Robert Komm's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT ADVISERS LLC

FORESTERS ADVISORY SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2017

Series 63

Date: 5/3/2010

SIE

Date: 10/1/2018

Series 6

Date: 4/20/2010

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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