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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2016-01-25 |
| FL | RA | APPROVED | 2016-01-22 |
| OH | RA | APPROVED | 2016-01-21 |
Branch Locations
75 E. Wilson Bridge Road Suite C4, Worthington, OH 43085 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The New England | Columbus | OH | 01/1988 | Present |
| Osaic Wealth, Inc. | Dublin | OH | 01/1997 | Present |
1) R. DALE CARPENTER LLC POSITION: Officer NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/07/2023 ADDRESS: 75 E. Wilson Bridge Rd, Suite C4, Worthington OH 43085, United States DESCRIPTION: This LLC includes my securities business as well as my insurance business. Insurance sales include life and health, disability, Medicare Supplement plans. 2) CARPENTER TREE FARMS LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2025 ADDRESS: 5855 School House Rd, Dresden OH 43821, United States DESCRIPTION: Mowing, Repairing Fence, Building a new barn
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-16 |
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