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Gene Wardo

Advisor at OSAIC

Updated today

Location

Houtzdale, PA

Credentials

Series 63, Series 65

Industry experience

38 years

About

Gene Wardo is a financial advisor with OSAIC, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. His prior roles include positions at Securities America Advisors, Investacorp, LPL, and Invest Financial Corporation. Outside of his advisory work, he owns and operates Big Rock Swing and Ping, an automated golf driving range, and B&G Trees, a tree care business, and serves on the board of Moshannon Valley Partnership, which supports regional business development. OSAIC Wealth, Inc. is an SEC-registered investment adviser and FINRA member broker-dealer that serves a diverse client base including individuals, retirement plans, corporations, and nonprofits. The firm employs a comprehensive investment process combining risk tolerance assessments with asset allocation and portfolio optimization tools, supporting thousands of advisors and managing approximately $200 billion in assets.

Client services

Based on OSAIC

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Based on OSAIC

Annuities

Occupation focus

Based on OSAIC

Founder/Business Owner Executive Retired

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Fee options

Fixed

Fixed or flat fees for financial planning and consulting services generally up to $25,000, can exceed for high net worth individuals; Non-Discretionary Investment Advisory Services fixed fees from $500 to $15,000; Retirement Plan Consulting Services fixed fees from $1,000 to $100,000.

Percentage

$0 - $5,500: Negotiable, varies by Advisory Representative and program $5,500 - $10,000: Negotiable, varies by Advisory Representative and program $10,000+: Negotiable, varies by Advisory Representative and program

Commissions

Advisory Representatives may receive commissions as registered representatives or insurance agents for securities or insurance product sales outside advisory accounts.

Project-based

$0 - $750 per hour for financial planning and consulting services, Non-Discretionary Investment Advisory Services, and Retirement Plan Consulting Services.

Other

Account minimum: $5,500 to $10,000 depending on program Fee-only: Advisory fees negotiated individually by Advisory Representatives; often asset-based fees with wrap or non-wrap structures; fees can be up to 3% annually for Plan Participant Retirement Program; fee schedules vary by program and Advisory Representative.

Location

Houtzdale, PA

Most active in

Pennsylvania

Work history

OSAIC

2024 - Present (2 years)

OSAIC

2024 - Present (2 years)

Securities America Advisors, Inc.

2020 - 2024 (4 years)

SECURITIES AMERICA, inc.

2020 - 2024 (4 years)

Investacorp inc

2018 - 2020 (2 years)

LPL

2018 - 2018 (1 year)

Invest Financial Corporation

2006 - 2018 (12 years)

Wardo Financial Services Inc

1997 - Present (29 years)

PA Dept Corrections

1997 - 2017 (20 years)

B&G Trees

1992 - Present (34 years)

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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Bigler, PA

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Derek Walker is a financial advisor with Eagle Strategies (NY Life) holding Series 63 and Series 65 licenses and has 28 years of industry experience. He has worked at Eagle Strategies since 2019 and has been involved with New York Life and its affiliated entities since 1998. Outside of his advisory role, Walker serves as an elected official in the Pennsylvania General Assembly and is an adjunct instructor of statistics at Penn State DuBois. Eagle Strategies LLC provides financial planning, investment advisory, and retirement plan consulting services to individuals, employer-sponsored retirement plans, trusts, charitable organizations, and corporate clients. The firm emphasizes client-directed solutions and utilizes third-party managers and model portfolios, offering a combination of advisory services alongside affiliated insurance and broker-dealer capabilities as part of New York Life.

Retirement income strategy Retirement plans for business owners (SEP, solo 401k) Annuities Retired Founder/Business Owner Executive
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Melvin R

ChFC®, Series 63

Woodland, PA

Mass Mutual Investors Services

Melvin Roberts is a financial advisor with Mass Mutual Investors Services, holding the ChFC® designation and Series 63 license with 27 years of industry experience. His prior career includes nearly two decades at Metlife Securities Inc. and Metropolitan Life Insurance Company. Outside of his advisory role, he is a partner in a property and casualty business and serves as president of a family camp. Mass Mutual Investors Services is a broker-dealer and SEC-registered investment adviser that serves individuals, business owners, trusts, estates, charitable organizations, and employers. The firm offers financial planning, asset management, wrap and money-manager programs, and educational seminars.

Divorce financial planning General estate planning guidance Multi-generational wealth transfer Cash flow / budgeting Founder/Business Owner Attorney Executive Married/Couples/Partners Divorced
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Tyrone, PA

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Series 63, Series 66

Curwensville, PA

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Robert H

Series 63, Series 65

Smithmill, PA

OSAIC

Robert Hawkins is a financial advisor at OSAIC with 44 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Securities America Advisors, Inc. and Investacorp Advisory Services. Hawkins is a member and owner of Hawk Financial Group LLC, which provides financial services though he is not currently active in advisory business. OSAIC Wealth, Inc. is an SEC-registered investment adviser and FINRA member broker-dealer serving a diverse client base including individuals, pension plans, corporations, and charitable organizations. The firm employs a technology-driven investment process and offers a wide range of advisory and brokerage services through its extensive network of financial advisors.

Annuities Founder/Business Owner Executive Retired
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