William Mackay Barker, AIF | Financial Professional | Evanston, Wyoming

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Contact Information

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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

6 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

901 Center St, Evanston, WY 82930

June 14, 2021 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

901 Center St, Evanston, WY 82930

June 7, 2021 - Present

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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) RETIREMENT PLAN SOLUTIONS POSITION: Associate Advisor NATURE: Marketing Name, DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/04/2021 ADDRESS: 897 Baxter Dr., South Jordan UT 84095 DESCRIPTION: Partnership with another RAA-registered representative. Joint rep code used to split business. I want to be on his website and vice versa. Thank you. 2) HOFFMAN INSURANCE SERVICES POSITION: Insurance Producer NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/14/2024 ADDRESS: 810 18th St Ste 2, Evanston WY 82930 DESCRIPTION: Insurance sales and service (life, health, accident). Group plans/ employee benefits. Dan Hoffman is the owner, and he would like me to take over his business when he retires. We want to start sharing the cost of marketing and splitting the insurance commissions of shared clients. 3) CORE FINANCIAL PARTNERS POSITION: Financial Advisor NATURE: Core Financial Partners is a marketing name for Liz Hickox (Osaic Wealth advisor). We're going to set up joint rep codes to do business together on association 401(k)'s and rollovers around the country. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/25/2024 ADDRESS: 449 Thames St, Suite 301-C, Newport RI 02840, United States DESCRIPTION: I'll be working in tandem with Liz to bring on new 401(k) plans into her association MEP's / PEP's as well as helping participants with rollovers and wealth management when suitable. 4) DDWP, LLC POSITION: Part Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2025 ADDRESS: 901 Center St, Evanston WY 82930 DESCRIPTION: Part owner in an office building for my business. 5) RED CASTLE WEALTH, LLC POSITION: Owner NATURE: It is an LLC. This is my personal business that I created for my advisory and insurance business at the recommendation of my accountant. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2024 ADDRESS: 901 Center St, Evanston WY 82930, United States DESCRIPTION: This is just a holding company for tax purposes. I make payroll from this business and pay office expenses, etc. 6) OUTLAW INDUSTRIAL, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2026 ADDRESS: 645 Twin Ridge Ave, Evanston WY 82930, United States DESCRIPTION: Oversee business operations and help as needed.

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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
(7/6/2022)

RR

Colorado
(7/1/2022)

RR

Florida
(10/16/2026)

RR

Georgia
(10/16/2026)

RR

Nevada
(1/2/2026)

RR

North Carolina
(10/20/2026)

RR

North Dakota
(9/29/2026)

RR

Ohio
(5/9/2025)

RR

Tennessee
(10/16/2026)

RR

Utah
(6/14/2021)

RR

Washington
(1/2/2026)

RR

Wyoming
(6/14/2021)

IAR

Wyoming
(6/14/2021)

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.