In this episode, Shawn Mihal and Cindy Robertson of Osaic, along with Christian Bratton of Anderson Wealth Advisors, explore Osaic’s strategy for modernizing supervision by refining policies, procedures, and technology to better support financial professionals. Christian, from the OSJ perspective, discusses the importance of reducing friction, enhancing efficiency, and using feedback to drive improvements. The team shares valuable insights into Osaic’s proactive approach to supervision, emphasizing how it minimizes risk, streamlines processes, and fosters growth. Key highlights include Osaic’s successful annuity submission platform and how feedback from various councils shapes future initiatives. Tune in to learn how these innovative strategies are transforming the future of financial supervision and why they’re essential for financial professionals to thrive in a rapidly changing industry. 

Episode Highlights: 

• Sean discusses Osaic’s approach to modernization and its impact on improving operations.  

• Sean outlines a straightforward policy change with significant outcomes.  

• Christian emphasizes how Osaic's changes, particularly reducing disciplinary actions, help financial professionals by mitigating risk.  

• Sean defines Osaic’s supervision team as proactive partners who guide financial professionals, minimize risks, and foster business growth.  

• Cindy underscores Osaic's focus on simplifying processes and supporting financial professionals, rather than looking for compliance mistakes.  

• Christian shares his Supervision Wish List.  

• Sean explains how Osaic's supervision team leverages feedback from multiple councils to drive initiatives that enhance the financial professional experience and reduce risk.  

• Cindy highlights the success and benefits of Osaic’s annuity submission platform.  

Resources Mentioned: 

Anderson Wealth Advisors 

Osaic: The Power of Partnership 

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Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., and Osaic FS, Inc. broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Osaic Services, Inc. and Ladenburg Thalmann & Co., broker-dealers and members of FINRA and SIPC. Advisory services are offered through Ladenburg Thalmann Asset Management, Inc., and Osaic Advisory Services, LLC., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc. are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.

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