OSAIC FA, INC. of FORT WAYNE, IN is an SEC-registered investment adviser (CRD 3978). Regulatory assets under management: $37.1B. 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 110 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 AND VICE PRESIDENT | — |
| BEHRENDT JOHN MARSHALL | VICE PRESIDENT | — |
| KOWALCZYK BARBARA S | DIRECTOR | — |
| CRAWFORD FREDRICK JOHN | DIRECTOR; VICE PRESIDENT AND TREASURER | — |
| BOOTH DAVID KENNETH | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND DIRECTOR | — |
| HARDIMAN CAROL ROBINSON | VICE PRESIDENT | — |
| MURRAY MICHAEL FRANCIS | VICE PRESIDENT INVESTMENT SERVICES | — |
| ARMSTRONG DAVID EDWARD | VICE PRESIDENT | — |
| SALAMY MARGARET ANN | ASSISTANT VICE PRESIDENT | — |
| SCHLUETER MATTHEW ADAM | DIRECTOR; EXECUTIVE VICE PRESIDENT AND DIRECTOR | — |
| GASE LUCY DENISE | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND DIRECTOR; VICE PRESIDENT AND ASSISTANT SECRETARY (+1 more) | — |
| FURMAN DAVID THOMAS SR | ASSISTANT VICE PRESIDENT; SECOND VICE PRESIDENT | — |
| BRODY CAROLYN POST | VICE PRESDIENT | — |
| BOND ROBERT DAVID | VICE PRESIDENT | — |
| DINEEN ROBERT WILLIAM | CHIEF EXECUTIVE OFFICER AND DIRECTOR; CHIEF EXECUTIVE OFFICER AND PRESIDENT; CHIEF EXECUTIVE OFFICER , PRESIDENT AND DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-09 | regulatory | ON FEBRUARY 9, 2024, THE SEC ACCEPTED AN OFFER OF SETTLEMENT FROM LINCOLN FINANCIAL ADVISORS CORPORATION (LFA) AND ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS. THE ORDER STATED THAT FROM AT LEAST JANUARY 2019, LFA EMPLOYEES SENT AND RECEIVED OFF-CHANNEL COMMUNICATION… | Final | $8.5M |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| RADNOR | PA | 75 | 800-237-3813 |
| CHICAGO | IL | 45 | 773-693-6100 |
| ORANGE VILLAGE | OH | 39 | 216-765-7400 |
| IRVINE | CA | 33 | 949-660-0661 |
| HUNT VALLEY | MD | 32 | 410-785-0033 |
| HARTFORD | CT | 32 | 860-466-1191 |
| SAN RAMON | CA | 29 | 925-275-0300 |
| VIENNA | VA | 27 | 703-821-1685 |
| SAN RAMON | CA | 24 | 925-275-0300 |
| ROCHESTER | NY | 23 | 585-350-7260 |
| PARAMUS | NJ | 22 | 201-556-4500 |
| SACRAMENTO | CA | 20 | 916-868-3900 |
| COLUMBUS | OH | 19 | 614-888-6516 |
| VIRGINIA BEACH | VA | 19 | 757-777-3100 |
| DENVER | CO | 17 | 303-793-9300 |