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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-24 |
Branch Locations
31111 Agoura Road Suite 200, Westlake Village, CA 91361-4443 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lincoln Financial Advisors Corporation | Westlake Village | CA | 06/1998 | 01/2025 |
| Osaic Wealth, Inc. | Westlake Village | CA | 01/2025 | Present |
1)RICHARD A. SMITH, 31111 AGOURA ROAD, SUITE 200, WESTLAKE VILLAGE, CA 91361-4609 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERING DISABILITY INSURANCE, FIXED/INDEXED ANNUITIES, TRADITIONAL LIFE INSURANCE AND LONG TERM CARE INSURANCE START DATE: 1/4/1992 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 2)RICHARD A. SMITH, 31111 AGOURA ROAD, SUITE 200, WESTLAKE VILLAGE, CA 91361 CATEGORY: LIFE SETTLEMENTS INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: ANALYZE LIFE INSURANCE POLICIES TO DETERMINE IF A LIFE SETTLEMENT MAKES ECONOMIC SENSE START DATE: 8/11 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 1 3)Richard Smith, 3111 Agoura Road, Westlake Village, CA Category: premium financing Investment-Related: Yes Title: Agent Duties: offer premium financing Start Date: 01/2017 Hours Per Month: 2 Hours Per month during trading hours: 2
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-01-16 |
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