DS
Daniel C. Stith
OSAIC WEALTH
Oklahoma City, OK 73112
Some features on this profile are disabled
CRD#: 863328
DS
Professional summary
Daniel Carroll Stith, CFP®, who also goes by Danny C Stith Sr, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Oklahoma City, Oklahoma.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Danny C Stith Sr
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.FSC AGENCY, YES, STATUTORY AGENT, 1979, 5, 1, INSURANCE AGENT. 2. LIVING THROUGH HIS WORD FOUNDATION- FOUNDING DIRECTOR SINCE 2007 TO PROMOTE CHRISTIAN BASED ORGANIZATIONS AND ACTIVITIES THIS ACTIVITY IS NON-INVESTMENT RELATED. 3. WEALTH MANAGEMENT GROUP, LLC POSITION: Owner CEO NATURE: LLC INVESTMENT RELATED: Yes HRS: 160 SECURITIES TRADING HRS: 8 START DATE: 1/1/00 ADDRESS: 2629 W. I-44 Service Rd, Ste 100 OKC, OK. 73112, Oklahoma City OK 73112; DESCRIPT: This is the DBA the representatives of the OSJ promote. 4. PRESIDENT OF FINANCIAL PLANNING CENTER, INC.(FPC Inc.) AN OFFICE MANAGEMENT COMPANY, OKLAHOMA CITY, OK; Use for Business Expenses and Rental Income. 5. PRESIDENT OF CARROLL ENTERPRISES, INC., WHICH OWNS OFFICE & RESIDENTIAL PROPERTY. 6. CATHOLIC FOUNDATION BOARD POSITION: Board Member NATURE: Catholic Archdiocese of Oklahoma City Catholic Foundation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 1/1/14 ADDRESS:7501 NW Expy, OKLAHOMA CITY OK 73123 DESCRIPT: committee member on assigned committees. Currently assigned to governance & investment committee. NO CHECK WRITING 7. OKLAHOMA STATE FOUNDATION BOARD OF GOVERNORS; POSITION: Board of Governors NATURE: Foundation for OSU INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2013; ADDRESS: 400 S. Monroe St., Stillwater OK 74074 DESCRIPT: NonPolicy Making Board. Scholarship Granting Organization. Non-Executive Duties Only. 8. JIM THORPE ASSOC. POSITION: Board Member NATURE: Award the Best Defensive Back in NCAA Football. Drug Free Initiative in Oklahoma for Grade School Children & various Charitable activities. INVESTMENT RELATED: No; HRS: 2 SECURITIES HRS: 0 START DATE: 1/15/04; ADDRESS: 4040 N. Lincoln Blvd, Oklahoma City OK 73105; MEMBER BOARD OF DIRECTORS OF THE JIM THORPE ASSOCIATION IN OKLAHOMA CITY. THE ASSOCIATION IS RESPONSIBLE FOR THE OKLAHOMA SPORTS HALL OF FAME & JIM THORPE MUSEUM, NATIONAL AWARDS, AND THE BRIGHT PATH PROGRAMS FOR OKLAHOMA YOUTH. DESCRIPTION: Attend Board & Finance Committee meetings 9. DELTA TAU DELTA FRATERNITY POSITION: Board Member NATURE: Educational Foundation for Delta Tau Delta Fraternity. The foundation supports undergraduate and alumni chapters across the nation. INVESTMENT RELATED: No; HRS: 0 SECURITIES HRS: 0 START DATE: 11/09/2016 ADDRESS: 10000 Alisonville Rd., Fishers IN 46240; DESCRIPTION: Board Member and Serve on Investment Committee.; 10. FINANCIAL SERVICES NETWORK POSITION: Owner - NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES HOURS: 0 START DATE: 01/01/1979 ADDRESS: 2629 W. I-44 Service Road, Suite 100, Oklahoma City OK 73112 DESCRIPTION: owner of checking account 11. KIHEI SANDS ASSOCIATION OF APARTMENT OWNERS POSITION: Board Member NATURE: The Homeowners Association of where our Vacation Home is located. Purchased Condo in January 2020 INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/1/20 ADDRESS: 115 N. Kihei Road, Kihei HI 96753 DESCRIPTION: Board Member 12. KSR,INC. POSITION: Board Member NATURE: Rental Pool for Condo Rentals at Kihei Sands Condominiums. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/1/20 ADDRESS: 115 N. Kihei Road, Kihei HI 96753 DESCRIPTION: Board Member
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Carroll Stith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Carroll Stith's 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®
CFP®
Start date: 1984
Experience
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 2629 W. I-44 Service Road Suite 100, Oklahoma City, OK 73112RIA
BD
CRD#: 23131
Oklahoma City, OK
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 2629 W. I-44 Service Road Suite 100, Oklahoma City, OK 73112RIA
BD
CRD#: 23131
Oklahoma City, OK
Past
October 25, 1983 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
OKLAHOMA CITY, OK
Past
September 23, 1983 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
OKLAHOMA CITY, OK
Past
March 1, 1979 - November 11, 1983
ENTERPRISE FUND DISTRIBUTORS, INC.
BD
CRD#: 883
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.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/3/2023)
RR
Arizona(11/3/2023)
RR
Arkansas(11/3/2023)
IAR
Arkansas(11/3/2023)
RR
California(11/3/2023)
RR
Colorado(11/3/2023)
RR
Florida(11/3/2023)
IAR
Florida(11/3/2023)
RR
Georgia(11/3/2023)
IAR
Georgia(11/3/2023)
RR
Hawaii(11/3/2023)
RR
Idaho(11/3/2023)
RR
Illinois(11/3/2023)
RR
Indiana(11/3/2023)
IAR
Indiana(11/3/2023)
RR
Iowa(11/3/2023)
RR
Kansas(11/3/2023)
IAR
Kansas(11/3/2023)
RR
Kentucky(4/19/2024)
RR
Louisiana(11/3/2023)
IAR
Louisiana(11/3/2023)
RR
Maryland(11/3/2023)
RR
Massachusetts(11/3/2023)
IAR
Massachusetts(11/3/2023)
RR
Michigan(11/3/2023)
RR
Minnesota(11/3/2023)
IAR
Minnesota(11/3/2023)
RR
Mississippi(4/19/2024)
RR
Missouri(11/3/2023)
IAR
Missouri(11/3/2023)
RR
Nebraska(11/3/2023)
RR
Nevada(11/3/2023)
RR
New Jersey(11/3/2023)
RR
New Mexico(11/3/2023)
RR
New York(11/3/2023)
RR
North Carolina(11/3/2023)
IAR
North Carolina(11/3/2023)
RR
North Dakota(11/3/2023)
RR
Ohio(11/3/2023)
RR
Oklahoma(11/3/2023)
IAR
Oklahoma(11/3/2023)
RR
Oregon(11/3/2023)
RR
Pennsylvania(11/3/2023)
RR
South Dakota(11/3/2023)
RR
Tennessee(11/3/2023)
RR
Texas(11/3/2023)
IAR
Texas(11/3/2023)
RR
Utah(11/3/2023)
RR
Vermont(11/3/2023)
RR
Virginia(11/3/2023)
RR
Washington(11/3/2023)
RR
West Virginia(4/19/2024)
RR
Wisconsin(4/19/2024)
RR
Wyoming(4/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/20/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
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)
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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)
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 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Oklahoma City, OK 73112TRUST BUT VERIFY
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