Role at Osaic Wealth
- Title on Schedule A
- Director
- Control
- Erinn Ford is not a control person of Osaic Wealth.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Erinn Ford has held the filed role since September 2023.
The firm
Form ADV filed 29 September 2026
Career on record
Erinn Ford has been registered through Osaic Wealth since August 2025, and before that through Securities America Advisors, Inc., Kms Financial Services, Inc, Cetera Advisors LLC and Pacific West Financial Consultants Inc.
- Osaic Wealth, Inc.Current– present · 1 yearScottsdale, AZ · Adviser representative · Firm CRD 23131
- Passed Series 99TO · 2023
- Securities America Advisors, Inc.– · 4 yearsLa Vista, NE · Adviser representative · Firm CRD 110518
- Passed SIE · 2018
- Kms Financial Services, Inc– · 3 yearsSeattle, WA · Adviser representative · Firm CRD 3866
- Cetera Advisors LLC– · 6 yearsDenver, CO · Adviser representative · Firm CRD 10299
- Pacific West Financial Consultants Inc– · 13 yearsRenton, WA · Adviser representative · Firm CRD 108728
- Passed Series 65 · 1999
- Passed Series 63 and Series 24 · 1993
- Passed Series 7 · 1992
Registrations and exams
Erinn Ford has a current investment-adviser registration in Washington and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Washington | Investment adviser representative | Approved | 12 August 2025 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 April 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 January 1993 |
| Series 24 | General Securities Principal Examination | 24 September 1993 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 16 December 1992 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Erinn June Ford
- CRD
- 2176816
- Registration status
- Investment adviser and broker registrations
- Office
- 18700 N. HAYDEN ROAD, SUITE 255, Scottsdale, AZ 85255
- Firm bio
- osaic.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Osaic’s official leadership page lists Erinn Ford as head of enterprises. Osaic official Meet the Team page
Common questions
Where does Erinn Ford work?
Erinn Ford has been Director of Osaic Wealth, Inc. since September 2023.
Is Erinn Ford a financial advisor?
Yes. Erinn Ford has a current investment-adviser registration in Washington, through Osaic Wealth since August 2025, as of 17 October 2026.
How many years of experience does Erinn Ford have?
Erinn Ford has worked in the financial industry for 33 years as of 17 October 2026, counted from 4 January 1993, across 5 adviser firms.
What exams has Erinn Ford passed?
Erinn Ford has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 65, SIE and Series 99TO. The earliest, the Series 7, was passed in December 1992.
Where did Erinn Ford work before Osaic Wealth?
Before Osaic Wealth, Erinn Ford was registered through Securities America Advisors, Inc., November 2020 to June 2024; Kms Financial Services, Inc, March 2018 to November 2020; Cetera Advisors LLC, February 2012 to February 2018; Pacific West Financial Consultants Inc, June 1999 to February 2012.
Where is Erinn Ford based?
Erinn Ford’s registered office is in Scottsdale, AZ.
Leadership at Osaic Wealth
- Shannon ReidCEO, President, Director
- Shawn MihalSVP, Chief Compliance Officer
- Christopher MitchellCorporate Treasurer, Financial Principal
- James PriceChairman
- Matthew SchlueterEVP, Operations and Technology Solutions, Director