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Detailed Report
SHAD ROUNDY
CRD#: 6180525
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 TRACY, CA
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - 2021 (4 years)2 FIRMS2021 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 9/25/2024
B
New York 2/3/2025
B
California 9/25/2024
B
North Carolina 2/3/2025
IA
California 9/26/2024
B
South Dakota 9/25/2024
B
Hawaii 10/8/2024
B
Utah 9/25/2024
B
Indiana 9/25/2024
B
Virginia 2/3/2025
B
Kansas 9/25/2024
B
Washington 9/25/2024
B
Montana 9/25/2024
B
Wisconsin 9/25/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
TRACY, CA
Registered with this firm since 9/26/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
TRACY, CA
Registered with this firm since 9/25/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/12/2021 - 09/26/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STOCKTON, CA
B
 02/12/2021 - 09/26/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STOCKTON, CA
IA
 08/19/2016 - 02/16/2021 EDWARD JONES (CRD#:250) TRACY, CA
B
 08/19/2016 - 02/16/2021 EDWARD JONES (CRD#:250) TRACY, CA
IA
 10/13/2015 - 09/12/2016 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Logan, UT
B
 10/09/2015 - 09/12/2016 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) Logan, UT
IA
 08/06/2015 - 09/29/2015 ALLEGIS INVESTMENT ADVISORS, LLC (CRD#:157314) LOGAN, UT
B
 08/04/2015 - 09/29/2015 ALLEGIS INVESTMENT SERVICES, LLC (CRD#:168557) Logan, UT
IA
 06/12/2013 - 07/30/2015 EDWARD JONES (CRD#:250) LAHAINA, HI
B
 05/16/2013 - 07/30/2015 EDWARD JONES (CRD#:250) LAHAINA, HI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.