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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AK | RA | APPROVED | 2018-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Ellis Group, Inc. | Palmer | AK | 06/2000 | Present |
| Signator Investors, Inc. | Palmer | AK | 05/2016 | 11/2018 |
| Osaic Wealth, Inc. | Palmer | AK | 11/2018 | Present |
1. THE ELLIS GROUP, INC. POSITION: Registered Rep/IAR NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 12/21/1998 ADDRESS: 541 S Cobb St Ste 205, Palmer AK 99645, United States DESCRIPTION: Sales and Marketing of securities, investment advisory and insurance products 2. THE ELLIS GROUP, INC. FIXED INSURANCE POSITION: Agent NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 8 START DATE: 09/22/2000 ADDRESS: 541 S Cobb St Ste 205, Palmer AK 99645, United States DESCRIPTION: Sales and marketing of fixed annuities and non-variable insurance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-13 |
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