Charles Dean Grass

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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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Years of Experience

11 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

326 Union Avenue Ne Suite 5, Renton, WA 98059

October 30, 2020 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

326 Union Avenue Ne Suite 5, Renton, WA 98059

October 30, 2020 - Present

Past

HORNOR, TOWNSEND & KENT, LLCPast·CRD# 4031

RIA

Renton, WA

January 24, 2017 - November 2, 2020

HORNOR, TOWNSEND & KENT, LLCPast·CRD# 4031

BD

Renton, WA

September 9, 2015 - November 2, 2020

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

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

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (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) GRASS W MGMT LLC POS: Ownr NAT: LLC INV REL: Y HRS: 10 SEC HRS: 10 START: 5/17/11 ADDR: 326 Union Ave NE, Ste 5, Renton WA DESC: Refers Grass CPA clients to GWM and affiliate Melissa Larson, CFP, and Elevate Team at Pacific Cap RES GRP provides finl planN, ins., inv/ret prod/svcs. Melissa meets Grass CPA clients at the Grass CPA offices/her office. Charles written in for a %age of the cases, his income goes to GWM. Melissa pays rent to Grass CPA for use of premises and limited support svcs. Melissa doesn't rece income from GWM but is listed on the GWM website as an advisor. 2) PACIFIC CAP RES GRP POS: Agt; NAT: Finl svcs, design impl; INV REL: Yes; HRS: 5; SEC HRS: 5; 10/22/15 ADD: 10900 NE 8th St, Ste 2500, Bellevue WA 98004 DES: Charles Grass, and his bus. are agts with Ele Team at Pacific Cap. 3) GRASS COMM RA POS: Mgr NAT: tent split out of Grass CPA & Assoc LLC (Charles D Grass CPA EA, ownr) of its existing Comm RA svc to add Bene Ownrship Filing svc to Grass CPA clients. FinCEN filings. As man by the Corp TP Act. INV REL: Hrs: 10 SEC TRADE HRS: 5 START: 01/01/24 ADD: 326 Union Ave NE, Suite 5, Renton WA 98059 DESC: Proc design/MGMT. 4) ACQ OF LLC OR BOOK OF BUS POS: mgr NAT: acq. of Seeley & Assoc LLC by Grass CPA & Assoc LLC. INV REL: No SEC. HRS: 10 SEC TRADE HRS: 10 START: 10/16/2025 ADDR: 326 Union Ave NE Ste 5, Renton WA 98059 DESC: Ownr/mgr. 5) NCR ACCTG SVCS LLC POS: Prin. NAT: LLC single ownr Grass CPA. INV REL: Hrs OF HRS: 10 SEC HRS: 10 START: 11/04/19 ADDR: 326 Union Ave NE, Ste 5, Renton WA 98059 DESC: Charles Grass is resp for NCR Acctg incl. oversight of mktg and of svc prov. NCR Acctg offers 'no copy required' acctg and bkpg svcs, incl. payroll and compl taxes, to small bus. utilizing QuickBooks. 6) CONT CTRL LLC POS: Mgr of SMLLC div of Grass CPA NAT: CPA firm; similar to Grass CPA & Assoc LLC' BUS clients. Prior ownr, Michael J Hamblin, CPA, has retired (April 2025). Grass CPA acquired as of May 1, 2023, as a wholly owned LLC div of Grass CPA, assumed premises and sVC cont and consol Grass CPA ops into the Cont CTRL offices. Prof. svc will be OBO under the ConT CTRL CPAs name along under the Grass CPA and NCR Accg names. See other OBA listings. INV REL: No SEC. HRS: 40 SEC. TRAD HRS: 40 START: 05/01/2023 ADD: 326 Union Ave NE, Suite 5, Renton WA 98059 DESC: Ownr mgr of Cont Ctrl CPAs, div of Grass CPA & Assoc LLC. See Grass CPA OBA. 8)GRASS CPA & ASSOC LLC POS: Ownr/princ NAT: Grass CPA & Assoc LLC is a CPA firm with a focus on indiv and their closely held BUS. We provide income tax prep for indiv, BUS, estates and trusts along with, as app, accg, bkpr and payroll, and comp(excise and payroll)tax svc and IRS problem resol and/or exam rep svc. Grass CPA is also a Reg Comm Reg Agt with the Sec of State (WA). Reg Agt svc are provided only to BUS clients of Grass CPA and its div. INV REL: NO OF HRS: 200 SEC TRAD HRS: 100 START: 07/01/1991 ADD: 326 Union Ave NE, Suite 5, Renton WA 98059, US DES: Everything; primary focus is on income tax and tax prob reso and tax plann. Other duties incl Mgmt Adv consul and Notary svc to Grass CPA clients. My team incl; three Enroll Agt/Assoc Acctg, one CPA/EA/Assoc Acctg one data/doc/file mgr, one project mgr, one part-time ctrl, plus front off/recep/off mgr (currently open), whom do nearly all admin and ABC (accg, bkpg, comp) svc. 9)SEELEY & ASSOC LLC POS: mgr NAT: Seeley & Assoc LLC is tax svc firm. Grass CPA' ACQ closing date is Oct 17, 2025, at its's current location in Issaquah WA. Files, comp and select fixtures and furn will be moved to the Grass CPA offices on Oct 20, 2025, and the Issaquah loc vacated. This ACQ incl all assets of Seeley & Assoc LLC incl phone no and website, www.seeleyassocates.com This website will be completely revised upon purchase such that it does not refer to any Broker/Dealer or other venders of prod/svc. INV REL: NO OF HRS: 10 SEC TRAD HRS: 10 START: 10/17/2025 ADD: 326 Union Ave NE Ste 5, Renton WA 98059, US DESC: Ownr/mgr.

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