Adam Joseph Wass

Osaic Institutions, INC.

33 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningEstate PlanningTax Planning

Osaic Institutions, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

546 advisors

Number of Clients

7,211 clients

Average Client Portfolio

$558K average

Assets Under Management

$4.0B

Fee Structure

Location

16348 Beach Blvd, Westminster, CA, 92683

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History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 2021

Denied

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Other Business Activities

Adam refers clients to AmeriEstate for prepaid legal and trust services since 2009. This investment-related activity takes minimal time.

Employment History

Current Registrations

Osaic Institutions, INC.

May 2022 - Present · 3 yrs 9 mos

Osaic Institutions, INC.Broker

May 2022 - Present · 3 yrs 9 mos

Previous Registrations

LPL Financial LLC

June 2011 - May 2022 · 10 yrs 11 mos

LPL Financial LLCBroker

June 2011 - May 2022 · 10 yrs 11 mos

CUNA Brokerage Services, INC.

March 2002 - June 2011 · 9 yrs 3 mos

CUNA Brokerage Services, INC.Broker

February 2002 - June 2011 · 9 yrs 4 mos

Cuso Financial Services, L.P.Broker

February 1998 - February 2002 · 4 yrs

Wm Financial Services, INC.Broker

September 1997 - April 1998 · 7 mos

Great Western Financial Securities CorporationBroker

June 1997 - February 1998 · 8 mos

Glenfed Brokerage ServicesBroker

June 1993 - May 1997 · 3 yrs 11 mos

Mutual of Omaha Fund Management CompanyBroker

August 1992 - August 1993 · 1 yr

State Registrations23 states

ALARAZCACOFLIAIDILMDMNMONENJNMNVNYOKSCTXUTVAWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.