Louisville, KY W Main St Office

Team
Updated today
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OSAIC

Institution

Firm-wide stats for OSAIC

Total advisors

7,856

Across 3,559 offices

Clients per advisor

72 Low

Avg AUM per client

$398,336 Typical

HNW client ratio

10% Low

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

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k)

Based on OSAIC

Occupation focus

Founder/Business Owner Executive

Based on OSAIC

Location

325 W Main St Ste 2102

Louisville KY 40202-4282

Advisors at this office

7

Advisors at this office

user avatar

Jim H

Series 63

Louisville, KY

OSAIC

Jim Hunter Jr. is a financial advisor with OSAIC in Louisville, KY, holding a Series 63 designation and 35 years of industry experience. He has previously worked with Securities America Advisors, Inc. and has been affiliated with Main Street Wealth Management, LLC for over two decades. Hunter also serves as a trustee for the Walden School, an independent nonprofit school. OSAIC serves a diverse client base including individual investors, pension plans, corporations, and charitable organizations through various advisory platforms. The firm integrates brokerage and investment advisory services, employing tools like asset-allocation models and automated rebalancing to manage portfolios across multiple asset classes.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Ronald K

Series 63, Series 66

Louisville, KY

OSAIC

Ronald Knigge is a financial advisor with OSAIC based in Louisville, KY, holding Series 63 and 66 licenses and bringing 30 years of industry experience. He has worked with Securities America Advisors and Securities America, Inc. for over two decades and is also associated with Main Street Wealth Management, where he has been involved in insurance brokerage activities related to investment products since 1995. OSAIC serves a diverse client base including individual and high-net-worth investors, pension plans, corporations, and charitable organizations through a wide network of advisers. The firm combines brokerage and advisory services with various investment platforms, utilizing asset-allocation tools and third-party managers to offer tailored portfolio solutions.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Vincent C

CFP®, Series 63

Louisville, KY

OSAIC

Vincent Corsi is a CFP® with 40 years of industry experience, currently serving at OSAIC since 2024. He has held roles at Securities America Advisors, Inc. and Mainstreet Wealth Management, LLC, where he is also the owner. OSAIC Wealth, Inc. serves a wide range of retail and institutional clients through an extensive network of affiliated advisers, offering brokerage and investment advisory services, financial planning, and access to multiple advisory platforms and third-party money managers.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Samuel H

Series 66

Louisville, KY

OSAIC

Samuel Hunter is a financial advisor at OSAIC with 14 years of industry experience. He holds a Series 66 designation and previously worked at Securities America Advisors, Inc. for 12 years. Outside of advising, he operates Samuel Hunter Photography, selling prints and photographing weddings. Osaic Wealth, Inc. serves a diverse client base including individual, high-net-worth, institutional, and charitable investors through a large network of affiliated advisers and advisory platforms. The firm provides integrated brokerage and investment advisory services, utilizing asset-allocation tools, risk-tolerance questionnaires, and automated rebalancing to manage portfolios across various asset classes.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Stephen C

CFP®, Series 66

Louisville, KY

OSAIC

Stephen Corsi is a financial advisor at OSAIC with 19 years of industry experience. He holds the CFP® designation and Series 66 license. Prior to joining OSAIC in 2024, Corsi spent over a decade with Securities America Advisors, Inc. and Securities America Inc. He is also involved with Young Life, a Christian outreach ministry in Louisville, where he serves as a financial approver for budgeting and expense report oversight. OSAIC Wealth, Inc. serves a wide range of clients including individuals, high-net-worth investors, pension plans, corporations, and charitable organizations. The firm combines brokerage and advisory services, providing portfolio management through various platforms and tools, including access to third-party managers and automated investment strategies.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Sarah D

Series 66

Louisville, KY

OSAIC

Sarah Diffenderfer is a financial advisor at Osaic with seven years of industry experience. She holds a Series 66 designation and previously worked at Securities America, Inc. and Securities America Advisors, Inc. in Louisville, KY. Diffenderfer also operates MainStreet Wealth Management, LLC, where she focuses on variable annuities and occasionally provides life insurance quotes. Osaic Wealth, Inc. serves a diverse range of retail and institutional clients through a large network of affiliated advisers and multiple advisory platforms. The firm offers integrated brokerage and advisory services, retirement plan consulting, and access to third-party money managers, employing advanced asset-allocation tools and portfolio management strategies.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Donald H

Series 63, Series 65

Louisville, KY

OSAIC

Donald Hook II is a financial advisor with OSAIC in Louisville, KY, holding Series 63 and Series 65 credentials and bringing 39 years of industry experience. He worked at Securities America Advisors and Securities America Inc. for 15 years before joining OSAIC in 2024. Outside of his advisory role, he volunteers at the White Flag Homeless Shelter and serves as Vice President on the council of St. Marks UCC Church. OSAIC serves a diverse client base including individuals, high-net-worth investors, pension plans, corporations, and nonprofits, offering integrated brokerage and advisory services through a large network of affiliated advisors. The firm employs a range of asset-allocation tools and supports multiple investment platforms, including third-party money managers and unified managed accounts.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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