OSAIC ADVISORY SERVICES, LLC of ATLANTA, GA is an SEC-registered investment adviser (CRD 171070). Regulatory assets under management: $15.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 26 people.
| Name | Role | Location |
|---|---|---|
| Milton Ralph Berlinski | GENERAL PARTNER; INVESTMENT MANAGER; MEMBER (+1 more) | New York, NY |
| Matthew Adam Schlueter | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | Atlanta, GA |
| Cynthia Ann Hamel | PRESIDENT, INTERIM CHIEF OPERATING OFFICER | Phoenix, AZ |
| James Dale Price | CHAIRMAN | Phonix, AZ |
| Edward Christy Swenson | PRESIDENT, INTERIM CHIEF OPERATING OFFICER | — |
| Shawn Michael Mihal | SVP, CHIEF COMPLIANCE OFFICER | — |
| Christopher Mills Mitchell | CORPORATE TREASURER, FINANCIAL PRINCIPAL | — |
| David Andrew Schmidt | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Iryna Yakovlevna Northrip | SVP, CHIEF COMPLIANCE OFFICER | — |
| BRETON BERNARD ANDRE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - RIA | — |
| SCHLUETER MATTHEW ADAM | EXECUTIVE VICE PRESIDENT | — |
| DUDAS STEPHEN STANLEY | TREASURER | — |
| STIBBS NATHAN MILES | CO-PRESIDENT | — |
| PRICE JAMES DALE | CHAIRMAN | — |
| BRYAN MICHAEL CHRISTIAN | CO-PRESIDENT; PRESIDENT | — |
| SWENSON EDWARD CHRISTY | PRESIDENT; PRESIDENT, INTERIM CHIEF OPERATING OFFICER | — |
| GERB JASON | CHIEF COMPLIANCE OFFICER | — |
| BERLINSKI MILTON RALPH | GENERAL PARTNER; INVESTMENT MANAGER; MEMBER (+1 more) | — |
| REHN AMY R | CHIEF OPERATING OFFICER | — |
| BELOTTE DAVID | CHIEF COMPLIANCE OFFICER | — |
| NORTHRIP IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY; SVP, CHIEF COMPLIANCE OFFICER | — |
| SCHMIDT STEVEN ANDREW | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | — |
| MCKENNA NINA | SECRETARY | — |
| GILBERT JASON MATTHEW | PRIVACY OFFICER | — |
| SEIFFERT SCOTT ROBERT | CHIEF ACCOUNTING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-07-12 | regulatory | RENDERED INVESTMENT ADVICE, FROM A LOCATION WITHIN FLORIDA, WITHOUT BEING REGISTERED BY THE OFFICE. | — | — |
| 2020-09-30 | regulatory | NEW YORK DEPARTMENT OF FINANCIAL SERVICES - FAILURE TO DISCLOSE FINES AND FINRA ARBITRATION PROCEEDING ON LIFE INSURANCE APPLICATION | — | — |
| 2019-03-21 | regulatory | CONDUCTED INVESTMENT ADVISORY BUSINESS FROM OFFICES WITHIN THIS STATE WITHOUT THE BENEFIT OF LAWFUL REGISTRATION. | — | — |
| 2016-07-16 | regulatory | WASHINGTON STATE DEPARTMENT OF FINANCIAL INSTITUTION - FAILURE TO SUPERVISE | — | — |
| 2016-06-02 | regulatory | — | — | — |
| 2015-09-30 | regulatory | FINRA RULE 2210(D)(L)(B) - ISSUING COMMUNICATION WITH UNTRUE STATEMENTS. | — | — |
| — | regulatory | THE WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE ("OCI") DENIED MR. JOBIN'S APPLICATION FOR PERMANENT INDIVIDUAL INTERMEDIARY AGENT'S INSURANCE LICENSE BASED ON MR. JOBIN'S "YES" ANSWER TO THE QUESTION "ARE YOU CURRENTLY A PARTY TO, OR HAVE YOU EVER BEEN FOUND LIABLE IN, ANY LAWSUIT, ARBITRATIO… | — | — |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |