Anthony J. Monaghan

OSAIC WEALTH

Manchester, IA 52057

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CRD#: 6474200

Professional summary

Anthony John Monaghan is a registered financial advisor currently at OSAIC WEALTH, INC. located in Manchester, Iowa.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Anthony has worked at 1 firm 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. MONAGHAN FINANCIAL SERVICES, LTD. - SECURITIES POSITION: Owner/Financial Advisor NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/21/2015 ADDRESS: 208 N Franklin St, Manchester IA 52057, United States DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products. 2. MONAGHAN FINANCIAL SERVICES, LTD. - FIXED INSURANCE POSITION: Owner NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/21/2015 ADDRESS: 208 N Franklin St, Manchester IA 52057, United States DESCRIPTION: Service term life, and fixed annuity products. 3. COMMUNITY CHILDCARE OF MANCHESTER POSITION: Board Member NATURE: Non-profit organization. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/21/2020 ADDRESS: 613 Grant St., Manchester IA 52057, United States DESCRIPTION: Community Childcare of Manchester is a non-profit organization that oversees childcare at 2 sites in Manchester, IA. Duties involve general guidance and input as part of a seven member board made up of community members and parents. 4. THE CATHOLIC FOUNDATION IN THE ARCHDIOCESE OF DUBUQUE POSITION: Board Member NATURE: Non-profit organization. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2023 ADDRESS: 120 5th St. NW, Cedar Rapids IA 52405, United States DESCRIPTION: As one of several board members, set the strategic plan for the organization's mission and monitor it's implementation with the overall objective of maximizing the amount of financial support that the corporation can provide to the Catholic organizations it serves. Attend meetings and lend expertise. Recommend new and appropriate candidates to the Nominating Committee for potential board membership and to assist in their cultivation and recruitment. Promote the organization as appropriate within the parish and community. 5. NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/06/2019 ADDRESS: 208 N. Franklin St., Manchester IA 52057, United States DESCRIPTION: Notary Public for which no compensation is received and has never been received.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony John Monaghan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Anthony John Monaghan'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

July 10, 2015 - Present

OSAIC WEALTH, INC.

Office #1: 208 N. Franklin St., Manchester, IA 52057

RIA

CRD#: 23131

Manchester, IA

Current

May 5, 2015 - Present

OSAIC WEALTH, INC.

Office #1: 208 N. Franklin St., Manchester, IA 52057

RIA

CRD#: 23131

Manchester, IA

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
(1/4/2019)

Arkansas
(1/4/2019)

Colorado
(1/4/2019)

Florida
(1/4/2019)

Illinois
(1/4/2019)

Indiana
(1/4/2019)

Iowa
(7/9/2015)

IAR

Iowa
(7/10/2015)

Kansas
(2/24/2021)

Louisiana
(2/25/2025)

Michigan
(7/18/2022)

Minnesota
(1/4/2019)

Missouri
(1/4/2019)

Nebraska
(1/4/2019)

New Mexico
(1/4/2019)

Oregon
(4/22/2022)

Texas
(1/4/2019)

Virginia
(1/4/2019)

Wisconsin
(1/4/2019)

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: 7/9/2015

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: 5/5/2015

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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Anthony J. Monaghan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony John Monaghan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Anthony John Monaghan's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2015

SIE

Date: 10/1/2018

Series 7

Date: 5/5/2015

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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