Ian Mitchell Massey, AIF | Financial Professional | Corona, California

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Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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Disclosures on record.

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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Credentials

AIF®

Accredited Investment Fiduciary

Years of Experience

13 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 1295 Corona Pointe Court Suite 101, Corona, CA 928792. 27201 Puerta Real Suite 300, Mission Viejo, CA 926913. 17190 Bernardo Center Drive Suite 200, San Diego, CA 92128

July 22, 2025 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

1. 1295 Corona Pointe Court Suite 101, Corona, CA 928792. 27201 Puerta Real Suite 300, Mission Viejo, CA 926913. 17190 Bernardo Center Drive Suite 200, San Diego, CA 92128

July 22, 2025 - Present

Past

MARINER ADVISOR NETWORKPast·CRD# 283824

RIA

Irvine, CA

November 1, 2016 - August 7, 2025

LPL FINANCIAL LLCPast·CRD# 6413

RIA

Corona, CA

August 11, 2021 - July 30, 2025

LPL FINANCIAL LLCPast·CRD# 6413

BD

Corona, CA

January 27, 2016 - July 30, 2025

WEALTHPLAN PARTNERSPast·CRD# 158935

RIA

Corona, CA

February 2, 2016 - November 11, 2016

TRILOGY CAPITAL, INC.Past·CRD# 281597

RIA

Corona, CA

November 23, 2015 - February 3, 2016

NATIONAL PLANNING CORPORATIONPast·CRD# 29604

RIA

Corona, CA

July 30, 2015 - January 26, 2016

NATIONAL PLANNING CORPORATIONPast·CRD# 29604

BD

Corona, CA

September 16, 2013 - January 26, 2016

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Current Firm

OW

OSAIC WEALTH, INC.

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)

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

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US 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 (11/6/2026)

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
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
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) 01/27/2016: Providence Wealth Planning DBA for LPL Business (entity for LPL business) - 160 Hours Per Month/8 Hours During Securities Trading - 100% Time Spent. PROVIDENCE WEALTH PLANNING, LLC POSITION: CFO NATURE: LLC - S-Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2016 ADDRESS: 1295 Corona Pointe Ct, Corona CA 92879, United States DESCRIPTION: All of my financial planning and company ownership responsibilities.

(2) 10/05/2016: Providence Professional Insurance Services Insurance Agency POSITION: CFO INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2016 ADDRESS: 1295 Corona Pointe Ct, Corona CA 92879, United States DESCRIPTION: I typically write 5-6 term insurance policies per year.

(3) 09/07/2022 - Providence Wealth Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 06/21/2021 - 224 Hours Per Month/8 Hours During Securities Trading.

(4) 09/15/2022 - Plan With Providence, LLC - Business Entity For Tax/Investment Purposes Only - Start Date - 06/21/2021 - POSITION: CFO NATURE: S-corporation INVESTMENT RELATED: Yes 224 Hours Per Month/8 Hours During Securities Trading ADDRESS: 1295 Corona Pointe Ct, Suite 101, Corona CA 92879, United States DESCRIPTION: Plan With Providence is our company's main corporation. I am the CFO. I conduct a financial planning business and help oversee our team.

(5) 05/23/2023 - Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Mariner Independent Advisor Network LLC, an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of business, ownership, and services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.

(6) 07/26/2023 - Financial Caddie, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 01/02/2023 - 20 Hours Per Month/ 1 Hour During Trading POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 ADDRESS: 22876 Briarcliff, Mission Viejo CA 92692, United States DESCRIPTION: This is a personal LLC I have developed, which our main corporation, Providence Wealth Planning, pays for my consulting services.

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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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(7/22/2025)

RR

California
(7/22/2025)

IAR

California
(7/22/2025)

RR

Colorado
(7/22/2025)

RR

Florida
(7/22/2025)

RR

Georgia
(7/22/2025)

RR

Idaho
(7/22/2025)

RR

Kansas
(7/22/2025)

RR

Missouri
(7/22/2025)

RR

Nebraska
(7/22/2025)

RR

Nevada
(7/22/2025)

RR

North Carolina
(8/4/2025)

RR

Oklahoma
(10/21/2026)

RR

Oregon
(7/22/2025)

RR

Pennsylvania
(7/22/2025)

RR

Tennessee
(7/22/2025)

RR

Texas
(7/22/2025)

IAR

Texas
(11/8/2025)

RR

Virginia
(8/18/2026)

RR

Washington
(7/22/2025)

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.