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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-09-01 |
Branch Locations
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 |
|---|---|---|---|---|
| Robert Strayer And Assoc. | Sidney | OH | 09/1985 | Present |
| Sagepoint Financial, Inc. | Phoenix | AZ | 01/2009 | 09/2023 |
| Susan Swinehart Attorney | Troy | OH | 05/1985 | Present |
| Osaic Wealth, Inc. | Troy | OH | 09/2023 | Present |
1. SUSAN SWINEHART ATTORNEY POSITION: Attorney NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 05/01/1985 ADDRESS: 110 South Stanfield, n/a, Troy OH 45373, United States DESCRIPTION: I am an attorney, doing estate planning. 2. Tax Aquisition Program POSITION: Advisor NATURE: marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2026 ADDRESS: 110 South Stanfield, n/a, Troy OH 45373, United States DESCRIPTION: Inform clients of tax advantages 3. CAPSTONE INSURANCE POSITION: agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/15/2024 ADDRESS: 110 South Stanfield, Suite C, Troy OH 45373, United States DESCRIPTION: Talking to companies that might be interested in the insurance. 4. SUSAN SWINEHART POSITION: Owner - NATURE: Sole Proprietorship^Other - susan swinehart owner of property INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1981 ADDRESS: 9125 klinger rd, Covington OH 45318, United States DESCRIPTION: own the property and rent it 5. SWINEHART AND ASSOCIATES FINANCIAL PLANNING AND INVESTMENTS POSITION: owner NATURE: LLC This is for marketing purposes only. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/14/2014 ADDRESS: 110 South Stanfield, n/a, Troy OH 45373, United States DESCRIPTION: I am an advisor with Osaic Wealth
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-11-30 |
| S65 | Uniform Investment Adviser Law Examination | 1999-03-24 |
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