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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Executive Financial Resouces,Inc | N. Wilkesboro | NC | 05/1995 | Present |
| Triad Advisors, Inc. | Norcorss | GA | 03/1999 | 08/2024 |
| Osaic Wealth, Inc. | North Wilkesboro | NC | 08/2024 | Present |
1. TURTLE CREEK PROPERTIES POSITION: OWNER OF BUILDING NATURE: LEASE OFFICE SPACE, RENTAL INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: 349 LAURELWOOD DRIVE, WILKESBORO NC 28697, United States DESCRIPTION: COMPENSATED BY RECEIVING RENTS 2. EXECUTIVE FINANCIAL RESOURCES, INC. POSITION: PRESIDENT, OWNER NATURE: INSURANCE PRODUCTS PROVIDER INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1994 ADDRESS: 85-A BOONE TRAIL, NORTH WILKESBORO NC 28659, United States DESCRIPTION: COMPENSATED THROUGH INSURANCE COMPANIES 3-EXECUTIVE FINANCIAL RESOURCES INC; INVESTMENT RELATED; 85-A BOONE TRAIL, NORTH WILKESBORO NC 28659; FINANCIAL SERVICES AND INSURANCE PROVIDER; PRESIDENT/OWNER; NOVEMBER 1994; 60-80HRS/MONTH; 3-4HRS/DAY; COMPENSATED THROUGH COMMISSIONS PAID THROUGH TRIAD; FINANCIAL SERVICES, BROKERAGE, INSURANCE PRODUCTS 4) APPLE BLOSSOM FARM POSITION: co-owner with wife NATURE: raise cattle and hay INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2015 ADDRESS: 349 Laurelwood Dr, Wilkesboro NC 28697, United States DESCRIPTION: small 32 acre farm, raise cattle and grow hay 5) WILKES HERITAGE MUSEUM POSITION: board member NATURE: non-profit historical organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 100 E Main Street, Wilkesboro NC 28697, United States DESCRIPTION: meet once a month and participate in projects to help maintain museum and establish displays of historically important events or things of interest to the public 6) ESTATE OF BROTHER LANE DYER POSITION: Alternate Executor NATURE: My Brother Lane Dyer has asked me to be the alternate executor of his estate in case he and his wife died at the same time. They are now co-executors of their estate. He doesn't want his daughter to be the alternate until she matures some more. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2025 ADDRESS: 512 Gates Avenue, Winston Salem NC 27103, United States DESCRIPTION: My Brother Lane Dyer has asked me to be the alternate executor of his estate in case he and his wife died at the same time. They are now co-executors of their estate. He doesn't want his daughter to be the alternate until she matures some more.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-21 |
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