Florence, AL Helton Drive 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
1212 Helton Drive Suite A
Florence AL 35630
Advisors at this office
3
Advisors at this office
Karla P
ChFC®, Series 63, Series 66
Florence, AL
OSAIC
Karla Parker is a financial advisor at OSAIC with 30 years of industry experience. She holds the ChFC® designation along with Series 63 and Series 66 licenses. Her prior experience includes roles at Metlife Securities Inc., Massachusetts Mutual Life Insurance Company, and SagePoint Financial. Parker is also a senior partner at Legacy Capital Advisors, LLC, and serves as an agent for AmeriLife and Crump Brokerage. OSAIC Wealth, Inc. serves a wide range of retail and institutional clients through an extensive network of affiliated advisors, offering integrated brokerage and advisory services, financial planning, and managed account solutions. The firm employs asset-allocation tools and third-party platforms to construct diversified portfolios catering to various client needs.
Linda S
Series 63, Series 66
Florence, AL
OSAIC
Linda Spry is a financial advisor at OSAIC with 27 years of industry experience. She holds Series 63 and Series 66 designations and has worked previously at firms including Sagepoint Financial, Securian Financial Services, Minnesota Life Insurance, and Metropolitan Life Insurance Company. She is a senior partner of Legacy Capital Advisors LLC in Florence, Alabama. OSAIC serves a diverse range of retail and institutional clients with integrated brokerage and advisory services, financial planning, and access to multiple investment platforms and third-party managers. The firm uses asset-allocation tools and automated rebalancing to construct portfolios that include a wide variety of asset classes.
Shannon S
Series 63, Series 66
Florence, AL
OSAIC
Shannon Smith is a financial advisor at OSAIC with 24 years of industry experience. She holds Series 63 and Series 66 licenses and has worked at several firms including MetLife Securities, Massachusetts Mutual Life Insurance Company, and SagePoint Financial. Smith also serves as an independent contractor for Legacy Capital Advisors, a registered investment advisor. OSAIC serves a broad range of retail and institutional clients through a large network of affiliated advisers, offering integrated brokerage and investment advisory services along with access to multiple advisory platforms and third-party money managers. The firm employs asset-allocation tools and automated rebalancing to manage portfolios that may include stocks, bonds, options, mutual funds, ETFs, and alternative investments.
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