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James Price

Chairman at Osaic Wealth

Broker registration; no current adviser registrationSEC record checked 17 October 2026

1
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Price is Chairman of Osaic Wealth, Inc., a Scottsdale investment adviser managing $235B. James Price has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Osaic Wealth

Title on Schedule A
Chairman
Control
James Price is a control person of Osaic Wealth.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Price has held the filed role since November 2016.

The firm

Osaic Wealth, Inc.
Scottsdale, AZ

Form ADV filed 29 September 2026

$235B AUM575,512 clients7,143 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. UBS Financial Services Inc.
    – · 8 years
    Weehawken, NJ · Adviser representative · Firm CRD 8174
  3. Passed Series 24 · 1994
  4. Passed Series 8 · 1987
  5. Passed Series 7, Series 3 and Series 63 · 1984

Registrations and exams

Broker registration; no current adviser registration. James Price has passed 6 qualifying exams.

Examinations

Series 6314 August 1984
Name
Uniform Securities Agent State Law Examination
Series 241 August 1994
Name
General Securities Principal Examination
Series 810 August 1987
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 323 March 1984
Name
National Commodity Futures Examination
Series 718 February 1984
Name
General Securities Representative Examination

Individual record

Full name
James Dale Price
CRD
1243224
Firm
Osaic Wealth, Inc.
Registration status
Broker registration; no current adviser registration
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 identifies Jamie Price as its chief executive officer. Osaic official Meet the Team page

Common questions

Where does James Price work?

James Price has been Chairman of Osaic Wealth, Inc. since November 2016, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 29 September 2026

Does James Price have a current investment-adviser registration?

James Price has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has James Price passed?

James Price has passed 6 licensing exams: the Series 7, Series 3, Series 63, Series 8, Series 24 and SIE. The earliest, the Series 7, was passed in February 1984.

Source: IAPD individual record, checked 17 October 2026

Where was James Price previously registered as an investment adviser?

James Price has past investment-adviser registrations through UBS Financial Services Inc., December 2002 to August 2010, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Leadership at Osaic Wealth

Sources

  1. IAPD individual record, CRD 1243224. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Osaic Wealth, Inc., filed 29 September 2026. Title, control and ownership bands.
  3. Osaic Wealth team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Price or Osaic Wealth, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.