TrueAdvisor
TrueAdvisor
RK
RK

Ronald Klimas

Osaic Advisory Services, LLC
32 Years of Experience
Knoxville, TN
1 DisclosureBroker
View SEC Summary
View SEC Summary

Ronald Klimas is a registered investment advisor at Osaic Advisory Services, LLC, based in Knoxville, TN, with 32 years of industry experience. Ronald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Corporate Executives, and 7 more. Their firm serves 29,898 clients with $15B in assets under management.

Osaic Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
350 advisors
Number of Clients
29,898 clients
Average Client Portfolio
$518K average
Assets Under Management
$15.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiated between the advisor and the client. The maximum annual fee allowed is 2.50%. Fees can be billed as flat, linear, or tiered rates.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9729 Cogdill Rd, Suite 303, Knoxville, TN, 37932

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2003
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ronald has several outside business activities, including hotel ownership, compliance consulting for broker-dealers and RIAs, drum teaching, and managing his own LLC for securities business. He also collects fees as an IAR through Arbor Point Advisors and provides RIA consulting services, dedicating about half of his time to his securities business.

Employment History
Current Registrations
Osaic Advisory Services, LLC
November 2024 - Present · 1 yr 11 mos
Osaic Wealth, INC.
June 2024 - Present · 2 yrs 4 mos
Osaic Wealth, INC.Broker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Arbor Point Advisors
February 2022 - November 2024 · 2 yrs 9 mos
Securities America Advisors, INC.
September 2020 - March 2022 · 1 yr 6 mos
Securities America, INC.Broker
September 2020 - June 2024 · 3 yrs 9 mos
Ssn Advisory, INC.
January 2004 - September 2020 · 16 yrs 8 mos
Securities Service Network, LLCBroker
December 1998 - November 2020 · 21 yrs 11 mos
Intersecurities, INC.Broker
May 1995 - December 1998 · 3 yrs 7 mos
Invest Financial CorporationBroker
October 1993 - April 1995 · 1 yr 6 mos
Sovereign Equity Management CORP.Broker
April 1993 - May 1993 · 1 mo
Chatfield Dean & CO., INC.Broker
February 1993 - March 1993 · 1 mo
State Registrations31 states
ALAZCACOCTDCDEFLGAILINKYMDMEMIMOMSNCNENHNVNYOHORPASCTNTXVAWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Knoxville, TN →All financial advisors in Tennessee →