Stephen Serati
Stephen Serati is a registered investment advisor at Osaic Wealth, INC., based in Punta Gorda, FL, with 36 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
Punta Gorda, FL
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Regulatory History (1)
Regulatory
March 2013Other Business ActivitiesSells Insurance
Stephen is a partner at Millenia Investments and Millenia Advisors, engaging in investment advisory services and insurance sales, including variable life and equity indexed annuities. He also sells life, disability, fixed annuity, and long-term care insurance, dedicating minimal time to these sales.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Securities Service Network, LLCBroker
Ssn Advisory, INC.
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Royal Alliance Associates, INC.
Plaza Financial Advisors INC
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
State Registrations32 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.