Casey Broach
Casey Broach is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in San Diego, CA, with 22 years of industry experience. Casey 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
4542 Ruffner Street, Suite 110, San Diego, CA, 92111
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2018Employment Separation After Allegations
July 2012Other Business Activities
Casey is the Executive VP of DACA Investment Services, spending nearly full-time on client investment management and brokerage services. Casey also holds VP positions at DACA Mortgage & Realty, DACA Financial Group, DACA Tax Services, and 299TRUST.COM, and is a board member at Boys & Girls Clubs of South County.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
LPL Financial LLC
LPL Financial LLCBroker
Wm Financial Services, INC.Broker
First Allied Securities, INC.Broker
State Registrations22 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.