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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

SALLY JO OSBORNE

Advisor at ALIGHT FINANCIAL ADVISORS, LLC

CHARLOTTE, NC | Prospect Heights, IL

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Search this name across graphsid dfx:ria:08f132b3-4f63-2a6c-683b-345a823121b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALIGHT FINANCIAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 10, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 10, 1988
First registration: Nov 15, 2005
Dual registered: yes, broker-dealer
Other names: SALLY JO GRAFF|Sally Jo Osborne|Sally Jo Graff-Osborne|Sally Osborne
IAPD individual key: 1495700

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALIGHT FINANCIAL ADVISORS, LLC	Independent wealth	Jan 26, 2022	n/a	yes	CHARLOTTE, NC\|Prospect Heights, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 17, 2017	Jan 10, 2022	no	SKOKIE, IL\|Skokie, IL\|CHICAGO, IL\|SKOKIE, IL\|SKOKIE, IL\|MORTON GROVE, IL\|WILMETTE, IL\|GLENVIEW, IL\|SKOKIE, IL\|NORTHBROOK, IL\|NORTHBROOK, IL	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	May 3, 2016	May 23, 2017	no	Chicago, IL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Feb 16, 2011	Jan 12, 2015	no	EVANSTON, IL\|EVANSTON, IL\|NILES, IL\|MUNDELEIN, IL\|NILES, IL\|SKOKIE, IL\|LAKE FOREST, IL\|LAKE FOREST, IL	Previous registration
FIRSTMERIT ADVISORS, INC.	n/a	Apr 30, 2010	Jan 14, 2011	no	BOLINGBROOK, IL\|AKRON, OH\|BOLINGBROOK, IL\|NILES, IL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 7, 2008	Jul 8, 2009	no	PEORIA, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 24, 2006	Jan 7, 2008	no	OAK BROOK, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 15, 2005	Mar 27, 2006	no	CHICAGO, IL\|OAK PARK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ALIGHT FINANCIAL ADVISORS, LLC	Jan 10, 2022	Jan 26, 2022	16	Firm change	Wirehouse to RIA
NUVEEN ASSET MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 23, 2017	Aug 17, 2017	86	Firm change	Other
FIFTH THIRD SECURITIES, INC.	NUVEEN ASSET MANAGEMENT, LLC	Jan 12, 2015	May 3, 2016	477	Firm change after gap	Other
FIRSTMERIT ADVISORS, INC.	FIFTH THIRD SECURITIES, INC.	Jan 14, 2011	Feb 16, 2011	33	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	FIRSTMERIT ADVISORS, INC.	Jul 8, 2009	Apr 30, 2010	296	Firm change	Other
WELLS FARGO ADVISORS	VALIC FINANCIAL ADVISORS, INC.	Jan 7, 2008	Jan 7, 2008	0	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO ADVISORS	Mar 27, 2006	Mar 24, 2006	-3	Firm change	Other

Relationships

Registered with (8)

→ ALIGHT FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 17, 2017 to Jan 10, 2022factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 3, 2016 to May 23, 2017factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Feb 16, 2011 to Jan 12, 2015factForm ADV
→ FIRSTMERIT ADVISORS, INC.Registered adviserregistration: previous registration
Apr 30, 2010 to Jan 14, 2011factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 7, 2008 to Jul 8, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 24, 2006 to Jan 7, 2008factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 15, 2005 to Mar 27, 2006factForm ADV

Dated events

Occurred
Jan 10, 2022
Advisor changed firm
Sally Jo Osborne left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Alight Financial Advisors, Llc (registered 2022-01-26)
Form ADVobserved 5 days ago