OSAIC FS, INC. of FORT WAYNE, IN is an SEC-registered investment adviser (CRD 3870). Regulatory assets under management: $4.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Other.
Showing 25 of 80 people.
| Name | Role | Location |
|---|---|---|
| Matthew Adam Schlueter | EXECUTIVE VICE PRESIDENT AND DIRECTOR | — |
| Milton Ralph Berlinski | GENERAL PARTNER; INVESTMENT MEMBER; MEMBER (+1 more) | — |
| Gregory Allen Cornick | CHAIRMAN AND DIRECTOR | — |
| David Martin Schmidt | FINOP AND TREASURER | — |
| John Robert Dimonda | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Claude A. Campbell | ASSISTANT VICE PRESIDENT AND AML OFFICER | — |
| Jeffrey Jude Sheftic | VICE PRESIDENT, CHIEF OPERATIONS OFFICER | — |
| Edward Nigel Walters | SENIOR VICE PRESIDENT | — |
| Timothy David Bonisteel | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| O'BRIEN MICHAEL M | SENIOR VICE PRESIDENT | — |
| YOUHN STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| ANGARELLA RONALD RICHARD | CHAIRMAN & CEO; CHAIRMAN, CEO AND DIRECTOR; PRESIDENT | — |
| CORNELIO CHARLES CARMEN | DIRECTOR | — |
| BOULTER WARREN THOMAS | ASSISTANT VICE PRESIDENT, COMPLIANCE; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| BOOTH DAVID KENNETH | PRESIDENT; PRESIDENT AND DIRECTOR; SENIOR VICE PRESIDENT AND DIRECTOR (+1 more) | — |
| HARDIMAN CAROL ROBINSON | VICE PRESIDENT AND DIRECTOR; VICE PRESIDENT, OPERATIONS DIRECTOR | — |
| WESTON JOHN ARTHUR | TREASURER; VICE PRESIDENT & TREASURER | — |
| WILBUR DONNA MANNING | ASSISTANT TREASURER | — |
| CLIFFORD LISA SCHLOSSER | ASSISTANT VICE PRESIDENT; ASSISTANT VICE PRESIDENT, COMPLIANCE | — |
| MURRAY MICHAEL FRANCIS | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT; ASSISTANT VICE PRESIDENT, INVESTMENT OPERATIONS; VICE PRESIDENT (+2 more) | — |
| SALAMY KIM JAY | ASSISTANT VICE PRESIDENT; ASSISTANT VICE PRESIDENT, MARKETING | — |
| ARMSTRONG DAVID EDWARD | ASSISTANT VICE PRESIDENT, PRODUCT & PLANNING; VICE PRESIDENT; VICE PRESIDENT, CROP (+1 more) | — |
| KENNEDY MARTY EUGENE | ASSISTANT VICE PRESIDENT; VICE PRESIDENT | — |
| SALAMY MARGARET ANN | ASSISTANT VICE PRESIDENT | — |
| STEVENSON MICHAEL ROBERT | ASSISTANT VICE PRESIDENT; AVP, BUSINESS PRACTICES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-09 | regulatory | ON FEBRUARY 9, 2024, THE SEC ACCEPTED AN OFFER OF SETTLEMENT FROM LINCOLN FINANCIAL SECURITIES CORPORATION (LFS) AND ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS. THE ORDER STATED THAT FROM AT LEAST JANUARY 2019, LFS EMPLOYEES SENT AND RECEIVED OFF-CHANNEL COMMUNICATI… | Final | $8.5M |
| 2014-11-03 | regulatory | THE NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION ALLEGED THAT TWENTY-TWO (22) HOME OFFICE, FINRA-LICENSED, EMPLOYEES, FAILED TO MAINTAIN THE APPROPRIATE STATE LICENSING FOR TRANSACTIONS THEY CONDUCTED PRIMARILY ON BEHALF OF THEMSELVES AND FAMILY MEMBERS. | Final | $55K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| RADNOR | PA | 24 | 8002373813 |
| GREENSBORO | NC | 17 | 336-272-9712 |
| WEXFORD | PA | 15 | 724-933-9000 |
| LEXINGTON | KY | 13 | 859-254-6406 EXT 104 |
| HARTFORD | CT | 12 | 860-466-1191 |
| RALEIGH | NC | 12 | 919-782-0287 |
| HOUSTON | TX | 9 | 713-659-1212 |
| ROUND ROCK | TX | 7 | 512-671-7526 |
| COLUMBIA | SC | 6 | 803-741-1001 |
| LANCASTER | NY | 6 | 716-312-7918 |
| SAN ANTONIO | TX | 5 | 210-402-0039 EXT 18 |
| ARLINGTON HEIGHTS | IL | 5 | 847-255-0300 EXT 24 |
| BRANFORD | CT | 5 | 203-483-3313 |
| FORT MITCHELL | KY | 4 | 859-918-0890 |
| CLIVE | IA | 4 | 515-273-5120 |