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Shad Roundy

Osaic Wealth, Inc.

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About Shad Roundy

Shad Roundy is an investment advisor representative with Osaic Wealth, Inc. located in Tracy, CA. Shad has been in the industry for 11 years and is registered in 15 states. Prior to joining Osaic Wealth, Inc., Shad was an investment advisor representative at EDWARD JONES. Shad specializes in financial planning, pension consulting and portfolio management for individuals and businesses.

Firm Information

Shad Roundy is currently registered with Osaic Wealth, Inc.. Osaic Wealth, Inc. is a corporation headquartered in Scottsdale, AZ. The firm has been approved and operates as an investment advisor, offering financial planning, pension consulting, and educational seminars. Osaic Wealth, Inc. manages assets for individuals, businesses, and charitable organizations, and participates in wrap fee programs.
Osaic Wealth, Inc.

18700 N. HAYDEN ROAD

SCOTTSDALE, AZ 85255

$94.56B

Assets Under Management

39,691

Total Clients

8,460

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Shad Roundy’s Registration & Firm History

CA

09/26/2024 - Present

Osaic Wealth, Inc. (TRACY CA)

CA

08/19/2016 - 02/16/2021

EDWARD JONES (TRACY CA)

UT

10/09/2015 - 09/12/2016

CAMBRIDGE INVESTMENT RESEARCH, INC. (Logan UT)

UT

08/04/2015 - 09/29/2015

ALLEGIS INVESTMENT SERVICES, LLC (Logan UT)

HI

05/16/2013 - 07/30/2015

EDWARD JONES (LAHAINA HI)

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Licenses & Designations

BOTH

Issued 06/07/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Shad Roundy.
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