Alfonso J. Cumplido

OSAIC WEALTH

Warwick, RI 02886

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CRD#: 5844854

Professional summary

Alfonso J Cumplido is a registered financial advisor currently at OSAIC WEALTH, INC. located in Warwick, Rhode Island.

Alfonso is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alfonso has worked at 2 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. Insurance Broker: Life, Annuities, LTC, DI, 935 JEFFERSON BOULEVARD SUITE 2000 WARWICK, RI 02886, 5/23/2018, 5 hrs mo, 0 trading. 2. RI STATE INVESTMENT COMMISSION POSITION: Volunteer NATURE: The SIC is a 10-member volunteer body, chaired by the General Treasurer of RI, Treasurer Seth Magaziner. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2020 ADDRESS: 82 Smith Street, Suite 2000, Providence RI 02903, United States DESCRIPTION: The State Investment Commission (SIC) is established under Rhode Island General Law 35-10. The SIC oversees the assets of the pension system as well as non-pension related investments such as the General Fund. The SIC has a fiduciary duty to put first the interests of the members of the retirement system, and to pursue the best investment portfolio possible. 3. INSURANCE BROKER POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/11/2011 ADDRESS: 935 Jefferson Blvd, Suite 2000, Providence RI 02909, United States DESCRIPTION: Conduct due diligence on various carriers, illustrate and broker life insurancesolutions for individuals and small businesses. Work with companies such as John Hancock, CRUMP, National Life,Lincoln and others. 4. CFA SOCIETY PROVIDENCE BOARD MEMBER POSITION: Incoming Vice President NATURE: Unpaid Volunteer Position For Non-Profit Oraganization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2016 ADDRESS: P.O. Box 41027, Providence RI 02940, United States DESCRIPTION: Participate in active discussions about CFA Society Providence operations and member value. Lead the financial literacy efforts for CFA Society Providence. 5. MILLENNIAL RHODE ISLAND POSITION: Board Member NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2023 ADDRESS: No Physical Address, Suite 2000, Providence RI 02909, United States DESCRIPTION: Millennial RI is a networking group of RI based millennial professionals.My role as a board member is to attend quarterly meetings and help provide ideas for programming. 6. PHYSICIAN FOCUSED FINANCE POSITION: investment team support NATURE: Simply a marketing name associated with one of the advisors the we support as part of her investment management team.Her niche target market is physicians and this marketing OBA name is simply for her to specifically target the market. The advisor is within our OSJWe contribute investment though leadership and content focused on physicians and split business generated under a split rep code. INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 04/23/2024 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: We contribute investment thought leadership and content focused on physicians and split business generated under a split rep code.We help research solutions that would appeal to physicians and help the lead advisor communicate that to her clients 7. ROYAL ONE FINANCIAL POSITION: Investment Management Team NATURE: We work with Rulla Nehme as part of an ensemble practice on as a joint rep code , focusing on investment advisory support. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2023 ADDRESS: 400 Westminster St, Providence RI 02903, United States DESCRIPTION: Support Rulla with the management of her advisory portfolios, content and thought leadership 8. AMP CONSULTING GROUP POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 50 START DATE: 05/23/2023 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: AMP Consulting Group is the marketing name for the services we provide.

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CRS (Client Relationship Summary) - RIA

Click below to view Alfonso J Cumplido's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alfonso J Cumplido'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

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 935 Jefferson Boulevard Suite 2000, Warwick, RI 02886

RIA

CRD#: 23131

Warwick, RI

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 935 Jefferson Boulevard Suite 2000, Warwick, RI 02886

RIA

CRD#: 23131

Warwick, RI

Past

March 31, 2011 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

WARWICK, RI

Past

December 20, 2010 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

WARWICK, RI

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
(10/26/2021)

California
(11/2/2018)

Colorado
(4/26/2022)

Connecticut
(11/2/2018)

IAR

Connecticut
(5/2/2019)

District of Columbia
(10/1/2020)

Florida
(11/2/2018)

IAR

Florida
(10/16/2023)

Georgia
(11/2/2018)

Hawaii
(1/14/2025)

Illinois
(11/2/2018)

Indiana
(12/17/2020)

Maine
(10/18/2021)

Maryland
(4/20/2020)

Massachusetts
(11/2/2018)

IAR

Massachusetts
(11/15/2023)

Michigan
(2/22/2022)

Minnesota
(2/28/2020)

New Hampshire
(11/2/2018)

New Jersey
(11/2/2018)

New York
(11/2/2018)

North Carolina
(10/23/2019)

IAR

North Carolina
(9/25/2024)

Ohio
(7/8/2019)

Pennsylvania
(3/19/2019)

Rhode Island
(11/2/2018)

IAR

Rhode Island
(11/2/2018)

South Carolina
(2/24/2021)

Tennessee
(8/11/2025)

Texas
(11/2/2018)

IAR

Texas
(7/31/2019)

Vermont
(9/6/2019)

Virginia
(11/2/2018)

Washington
(7/18/2023)

West Virginia
(11/2/2018)

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: 12/28/2010

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: 11/22/2010

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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Alfonso J. Cumplido

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfonso J Cumplido's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alfonso J Cumplido's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2010

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.

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