OSAIC WEALTH, INC. of SCOTTSDALE, AZ is an SEC-registered investment adviser (CRD 23131). Regulatory assets under management: $234.9B. 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 75 people.
| Name | Role | Location |
|---|---|---|
| James Dale Price | CHAIRMAN | — |
| Matthew Adam Schlueter | EVP, DIRECTOR; EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS; EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | — |
| Milton Ralph Berlinski | GENERAL PARTNER; INVESTMENT MEMBER; MEMBER (+1 more) | — |
| Gregory Allen Cornick | CEO AND PRESIDENT; CEO, PRESIDENT, DIRECTOR | — |
| Erinn June Ford | DIRECTOR | — |
| Shawn Michael Mihal | SVP, CHIEF COMPLIANCE OFFICER | — |
| Christopher Mills Mitchell | CORPORATE TREASURER, FINANCIAL PRINCIPAL | — |
| David Martin Schmidt | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL; TREASURER, FINANCIAL PRINCIPAL | — |
| John Michael Cooney | CHIEF COMPLIANCE OFFICER | — |
| Iryna Yakovlevna Northrip | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | — |
| Jason Harris Gerb | SVP, CHIEF REGULATORY OFFICER | — |
| Timothy Robert Hodge | CHIEF OPERATIONS OFFICER | — |
| MCREYNOLDS MICHAEL RONALD | FIRST VICE PRESIDENT | — |
| ROTHSTEIN STEVEN ELLIOT | CHIEF FINANCIAL OFFICER | — |
| FIELDS INGER WILSON | FNOP; VICE PRESIDENT, TREASURER AND FINOP | — |
| BOURDAMIS SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | — |
| PRATER HELEN HOWARD | DIRECTOR, SENIOR VICE PRESIDENT, OPERATIONS | — |
| SCHLUETER MATTHEW ADAM | CHIEF ADMINISTRATIVE OFFICER, EVP; CHIEF OPERATIONS OFFICER; DIRECTOR, CHIEF OPERATIONS OFFICER, EVP (+3 more) | — |
| TAMBARO ARTHUR MICHAEL SR | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER (+3 more) | — |
| QUINN MARK DAVID | CHIEF LEGAL OFFICER | — |
| MINZ ABRAHAM M | SENIOR REGISTERED OPTIONS PRINCIPAL/COMPLIANCE REGISTERED OPTIONS PRINCIPAL | — |
| HERNBERG SCOTT THOMAS | SENIOR VICE PRESIDENT | — |
| MAGEE ROSEMARY ELIZABETH | FIRST VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| ROTH RALPH LAWRENCE | CHIEF EXECUTIVE OFFICER; DIRECTOR; DIRECTOR, CHAIRMAN (+1 more) | — |
| HAMEL CYNTHIA A | DIRECTOR, CHIEF OPERATIONS OFFICER, EVP | — |
Showing 10 of 48 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLICINTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE,INSTITUTED AGAINST OSAIC SERVICES, INC. ("OSAIC SERVICES") AND OSAIC WEALTH, INC. ("OSAICWEALTH") (COLLECTIVELY, "RESPON… | Final | $18.0M |
| 2023-09-28 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST OSAIC WEALTH, INC. ("OSAIC WEALTH" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION OF THESE PR… | Final | $100K |
| 2023-02-15 | regulatory | RENDERED INVESTMENT ADVICE, FROM A LOCATION WITHIN FLORIDA, WITHOUT BEING REGISTERED BY THE OFFICE. | — | — |
| 2023-01-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLYDESIGNED TO ENSURE THAT ALL ELIGIBLE CUSTOMERS RECEIVED APPLICABLE SALES CHARGE WAIVERS ORSPECIAL SHARE CLASSES IN CONNEC… | Final | — |
| 2022-11-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY NEGLIGENTLY FAILED TO TELL INVESTORS IN AN OFFERING THAT THE ISSUER FAILED TO TIMELY MAKE REQUIRED FILINGS WITH THE SECURITIES AND EXCHANGE COMMISSION, INCLUDING FILING AUDITED FINAN… | Final | $35K |
| 2022-03-23 | regulatory | THE INSURANCE COMMISSIONER CONTACTED ROYAL ALLIANCE LICENSING TEAM IN 2021 TO ASK IF IT WAS CHARGING FEES TO INSUREDS BUT DID NOT RECEIVE A RESPONSE. IN FEBRUARY 2022 THE INSURANCE COMMISSIONER ISSUE ORDER REVOKING LICENSE NO 21-0736, HOWEVER LATER AGREED TO ACCEPT A FINE AND CURRENT RESPONSE IN ORD… | Final | $250 |
| 2021-12-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE 529 PLAN SHARE-CLASS RECOMMENDATIONS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM FOR… | Final | — |
| 2021-08-09 | regulatory | — | — | — |
| 2021-03-23 | regulatory | SETTLE A CUSTOMER COMPLAINT WITHOUT THE KNOWLEDGE OR APPROVAL OF HIS MEMBER FIRM. | — | — |
| 2021-03-12 | regulatory | TOOK NONPUBLIC CUSTOMER INFORMATION FROM THE FIRM WITHOUT CONSENT | — | — |