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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2023-11-03
  • IA RA
    APPROVED
    Since 2023-11-03

Branch Locations

3737 Woodland Avenue Suite 500, West Des Moines, IA 50266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corporation West Des Moines IA 01/1993 11/2023
Osaic Wealth, Inc. West Des Moines IA 11/2023 Present
  • 01/1993 → 11/2023
    Fsc Securities Corporation
    West Des Moines, IA
  • 11/2023 → Present
    West Des Moines, IA
Previous Registrations
  • 2001-04-10 → 2023-11-03
    Fsc Securities Corporation
    West Des Moines, IA
    West Des Moines, IA
  • 1999-05-21 → 2020-12-11
    Diversified Financial Advisory Group, Inc.
    West Des Moines, IA
Other Businesses

1. BRIAN BENNETT POSITION: Independent Agent NATURE: Fixed Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/10/1988 ADDRESS: 3737 Woodland Ave Ste. 500, West Des Moines IA 50266 DESCRIPTION: Provide fixed annuities and insurance to clients. 2. PAULINE BENNETT TRUST POSITION: Co-Trustee NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/10/2013 ADDRESS: 3737 Woodland Ave. STE. 500, West Des Moines IA 50266 DESCRIPTION: Meet with client and help discern income, risk tolerance, time frame for use of funds.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-22
S63 Uniform Securities Agent State Law Examination 1988-01-21
  • S65 Uniform Investment Adviser Law Examination
    1999-09-22
  • S63 Uniform Securities Agent State Law Examination
    1988-01-21
Designations

View on SEC IAPD

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