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3200 N. Central Ave Suite #200, Phoenix, AZ 85012 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-12-08 |
| AZ | RA | APPROVED | 2021-06-29 |
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 |
|---|---|---|---|---|
| Lpl Financial | Tucson | AZ | 04/2009 | 01/2017 |
| Horizon Financial Group, Llc | Tucson | AZ | 04/2009 | 01/2017 |
| Cwm, Llc | Omaha | NE | 01/2015 | 08/2018 |
| Cetera Advisor Networks, Llc | El Segundo | CA | 01/2017 | 08/2018 |
| Ashton Thomas Private Wealth, Llc | Scottsdale | AZ | 10/2018 | 01/2020 |
| Ashton Thomas Insurance Agency | Scottsdale | AZ | 10/2018 | 01/2020 |
| M. S. Howells & Co. | Scottsdale | AZ | 01/2019 | 01/2020 |
| Ascension College Planning, Llc | Tuscon | AZ | 01/2020 | 06/2021 |
| Securities America, Inc. | Tucson | AZ | 06/2021 | 06/2024 |
| Pfg Advisors | Tucson | AZ | 06/2021 | Present |
| Osaic Wealth, Inc. | Tucson | AZ | 06/2024 | 11/2025 |
| United Planners | Scottsdale | AZ | 11/2025 | Present |
| Angela M Caballero | Tucson | AZ | 06/2014 | Present |
| Rental | Tucson | AZ | 12/2018 | Present |
1.) ASCENSION COLLEGE PLANNING LLC - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - TUCSON, AZ - SINCE 10/2019 - INVESTMENT RELATED 2.) ANGELA M CABALLERO - INSURANCE AGENT - NON-VARIABLE INSURANCE - TUCSON, AZ - SINCE 06/2014 - INVESTMENT RELATED 3.) RENTAL - PROPERTY OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - TUCSON, AZ - SINCE 12/2018 - INVESTMENT RELATED 4.) TUCSON OLD PUEBLO WEALTH MANAGEMENT LLC - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - TUCSON, AZ - SINCE 10/2024 - INVESTMENT RELATED 5.) CABALLERO TRUST - GRANTOR/TRUSTEE - ACTING IN A FIDUCIARY CAPACITY (E.G. POA, TRUSTEE, EXECUTOR) - TUCSON, AZ - SINCE 06/2015 - NOT INVESTMENT RELATED 6.) PFG ADVISORS LLC - IAR - REGISTERED INVESTMENT ADVISOR - TUCSON, AZ - SINCE 06/2021 - INVESTMENT RELATED 7.) NOTARY PUBLIC - NOTARY PUBLIC - NOTARY - TUCSON, AZ - SINCE 06/2019 - NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-10 |
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