Charlotte, NC Ballantyne Corporate Place Office
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OSAIC
Institution
Firm-wide stats for OSAIC
About
Osaic Wealth, Inc. serves a broad mix of retail and institutional clients — including individual and high‑net‑worth investors, pension and profit‑sharing plans, corporations, and charitable organizations — through a large network of affiliated financial advisers and multiple advisory platforms. The firm offers integrated brokerage and investment advisory services, financial planning, retirement plan consulting, unified managed accounts, advisor‑managed portfolios, and access to third‑party money managers and wrap programs.
The firm’s advisers use firm‑provided asset‑allocation tools, risk‑tolerance questionnaires, efficient‑frontier analysis, and automated rebalancing to construct portfolios that may include stocks, bonds, options, mutual funds, ETFs and alternative investments; accounts can be managed on either a discretionary or non‑discretionary basis and clients may impose reasonable investment restrictions. Osaic also supports legacy platform programs and transitions (including accounts transferred from prior mergers) and makes available third‑party services such as Envestnet and SEI for model and managed‑account solutions.
What is noteworthy about Osaic relative to many peers is its complex corporate and platform footprint — including multiple mergers that consolidated broker‑dealer and RIA businesses, significant private‑equity ownership, and an established connection to an alternative‑investment distribution platform — and its use of a variety of third‑party commercial arrangements (revenue sharing, platform payments and other referral or structuring arrangements). The firm has also disclosed multiple regulatory enforcement matters in recent years (including SEC orders and penalties) and maintains advisor recruitment and transition programs and lender‑linked services (sweep and lending arrangements and advisor loan/acceleration incentives) that create identifiable conflicts of interest which the firm discloses and says it manages.
Based on OSAIC
Expertise
Based on OSAIC
Location
13777 Ballantyne Corporate Place, Suite 550
Charlotte NC 28277
Advisors at this office
3
Advisors at this office
Andrew K
Series 63, Series 65
Charlotte, NC
OSAIC
Andrew King is a financial advisor at OSAIC with 16 years of industry experience. He holds Series 63 and Series 65 designations and has worked at several firms, including Metlife Securities and Mass Mutual. Outside of his advisory role, he serves as vice president of the Gary Hammond Scholarship Foundation, assisting with event coordination. OSAIC serves a diverse client base, including individuals, institutions, and charitable organizations, offering a range of advisory services from financial planning to managed portfolios. The firm employs advanced asset-allocation tools and supports multiple investment platforms and third-party solutions.
Nathan W
CFP®, Series 66
Charlotte, NC
OSAIC
Nathan Weir is a CFP® with seven years of industry experience, currently advising at OSAIC since 2019. Prior to joining OSAIC, he held roles at First Financial Federal Credit Union of Maryland and Morgan Stanley. He has also worked as a financial planner with Capitol Financial Solutions. OSAIC serves a diverse client base including individual investors, high-net-worth clients, pension plans, corporations, and charitable organizations through a large network of advisers and multiple advisory platforms. The firm offers integrated brokerage and advisory services, utilizing asset-allocation tools, risk assessments, and automated rebalancing to manage portfolios across various asset classes.
Christopher G
CFP®, ChFC®, Series 63, Series 65
Charlotte, NC
OSAIC
Christopher Gurganus is a financial advisor with OSAIC based in Charlotte, NC. He holds the CFP® and ChFC® designations and has 22 years of industry experience, including 15 years at John Hancock prior to joining OSAIC in 2018. He also operates Capitol Financial Solutions, an LLC through which he conducts and markets his advisory business, and works as a broker recommending fixed insurance products when appropriate. OSAIC serves a diverse client base including individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations through a large network of affiliated advisors. The firm provides integrated brokerage and advisory services with a focus on asset allocation, risk management, and portfolio construction using multiple investment vehicles and third-party platforms.
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