Alec L. Mouring

OSAIC WEALTH

BEL AIR, MD 21014

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CRD#: 6689475

Professional summary

Alec Lloyd Mouring, who also goes by Alec Mouring, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Bel Air, Maryland.

Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Alec has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alec Mouring

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) Alec Mouring, 22 Linwood Ave., Suite A, Bel Air, MD Category: Insurance Investment Related: Yes Title: Agent Duties: Offer Fixed Annuities and Traditional Life Insurance Start Date: 7/2023 Hours per Month: 10 Hours per Month during trading hours: 2 2) ALEC MOURING 22 LINWOOD AVENUE, SUITE A BEL AIR, MD CATEGORY: NOTARY PUBLIC INVESTMENT RELATED: NO TITLE: SELF DUTIES: PROVIDE NOTARY SERVICES START DATE: 11/2023 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 1 3) NOTARY PUBLIC POSITION: Self NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/10/2023 ADDRESS: 22 Linwood Avenue, Suite A, Bel Air MD 21014, United States DESCRIPTION: I may occasionally provide notary services for clients under my OSJ. (not my own clients) 4) MULLEN ANDERSEN & ASSOCIATES POSITION: Registered Assistant NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/20/2023 ADDRESS: 22 Linwood Ave, Suite A, Bel Air MD 21014, United States DESCRIPTION: Supporting RR/OSJ, Joseph Andersen, and his clients with account maintenance, trading, opening of new accounts, relationship management, etc..

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec Lloyd Mouring's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alec Lloyd Mouring'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

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 22 Linwood Avenue Suite A, Bel Air, MD 21014

RIA

CRD#: 23131

BEL AIR, MD

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 22 Linwood Avenue Suite A, Bel Air, MD 21014

RIA

CRD#: 23131

BEL AIR, MD

Past

June 10, 2022 - January 24, 2025

OSAIC FS, INC.

RIA

CRD#: 3870

BEL AIR, MD

Past

June 10, 2022 - January 24, 2025

OSAIC FS, INC.

CRD#: 3870

BEL AIR, MD

Past

November 9, 2021 - May 16, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

FOREST HILL, MD

Past

November 4, 2021 - May 5, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

August 2, 2018 - July 26, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BETHESDA, MD

Past

April 28, 2017 - July 26, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BETHESDA, MD

Past

November 18, 2016 - February 21, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBIA, MD

Past

September 14, 2016 - February 21, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBIA, MD

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

California
(1/24/2025)

Colorado
(10/15/2025)

Delaware
(1/24/2025)

Florida
(1/24/2025)

Maryland
(1/24/2025)

IAR

Maryland
(1/24/2025)

Missouri
(1/24/2025)

Montana
(1/24/2025)

New Jersey
(1/24/2025)

New York
(1/24/2025)

North Carolina
(1/24/2025)

Pennsylvania
(1/24/2025)

South Carolina
(1/24/2025)

Virginia
(1/24/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2016

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: 9/14/2016

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

Alec L. Mouring

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec Lloyd Mouring's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alec Lloyd Mouring's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FS, INC.

OSAIC FS, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2016

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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