Joseph P. Viviano

OSAIC WEALTH

Syracuse, NY 13204

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CRD#: 5896720

Professional summary

Joseph Paul Viviano, who also goes by Joseph VIviano, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Syracuse, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Viviano

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. 5/20/2019 - Foresight Capital Ventures, LLC - Investment Related - Home Based - Real Estate Rental - President & Co-founder - Started 01/02/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Responsible for general business oversight & planning. 2. 2/7/2017 - Lemoyne College, Madden School of Business - Investment Related - LeMoyne College, 1419 Salt Springs Road, Syracuse, New York 13214 - Other - Unpaid Student Mentor/Guest Speaker - Volunteer - Started 01/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading. 3. 10/06/2021 - Aramark Services, Inc. - Not Investment Related - 490 Restoration Way, Syracuse, NY 13209 - Outside/W-2 Employment -Start Date: 10/07/2021 - 8 Hours Per Month/0 Hours During Securities Trading - Bartender/Concessions at St. Joseph's Hospital Lakeview Amphitheatre. 4. 01/01/2014 - United Way of Central New York - Community Impact Committee - Not Investment Related - 980 James St, Syracuse, NY 13203 - 2 Hours Monthly/0 Hours During Securities Trading - Unpaid Community Impact Committee Member 5. Sustainability for Scholarships - Board Member and Marketing & Events Committee Chair - Not Investment Related - 275 East Street Pittsford, NY 14534 - 2 Hours Monthly/0 Hours During Securities Trading - Unpaid Board Member & Community Leader 6. Association of Upstate New York - Advisory Council Member & Board of Directors Vice-Chair - 135 Old Cove Rd Ste 213, Liverpool, NY 13090 - 3 Hours Monthly/0 During Securities Training - Unpaid Board Member & Advisory Council Member 7. ASCENSION WEALTH MANAGEMENT POSITION: Managing Director NATURE: This is a personal DBA setup for marketing purposes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 08/06/2024 ADDRESS: 225 Wilkinson Street, Suite #107, Syracuse NY 13204, United States DESCRIPTION: I am the owner and managing director of Ascension Wealth Management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Paul Viviano's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Paul Viviano'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

September 3, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 225 Wilkinson St, Syracuse, NY 13204

RIA

CRD#: 23131

Syracuse, NY

Current

September 3, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 225 Wilkinson St, Syracuse, NY 13204

RIA

CRD#: 23131

Syracuse, NY

Past

September 10, 2018 - September 5, 2024

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

East SYRACUSE, NY

Past

August 29, 2018 - August 30, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST SYRACUSE, NY

Past

August 29, 2018 - September 13, 2024

LPL FINANCIAL LLC

CRD#: 6413

EAST SYRACUSE, NY

Past

September 19, 2016 - July 26, 2018

OSAIC WEALTH, INC.

RIA

CRD#: 23131

UTICA, NY

Past

September 19, 2016 - July 26, 2018

OSAIC WEALTH, INC.

CRD#: 23131

UTICA, NY

Past

March 19, 2012 - August 22, 2016

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

LIVERPOOL, NY

Past

February 17, 2012 - August 22, 2016

CADARET, GRANT & CO., INC.

CRD#: 10641

LIVERPOOL, NY

Past

August 2, 2011 - February 21, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SYRACUSE, NY

Past

June 20, 2011 - February 21, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, 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

Florida
(9/4/2024)

Georgia
(9/4/2024)

New York
(9/3/2024)

IAR

New York
(9/3/2024)

North Carolina
(9/4/2024)

Ohio
(9/4/2024)

South Carolina
(9/4/2024)

Virginia
(9/4/2024)

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: 7/13/2011

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: 6/19/2011

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

Joseph P. Viviano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Paul Viviano's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Paul Viviano's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/19/2011

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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