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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-01-19
  • MN RA
    APPROVED
    Since 2024-01-19

Branch Locations

Minneapolis, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Woodbury Financial Roseville MN 02/2003 01/2024
Osaic Wealth, Inc. Minneapolis MN 01/2024 Present
  • 02/2003 → 01/2024
    Woodbury Financial
    Roseville, MN
  • 01/2024 → Present
    Minneapolis, MN
Previous Registrations
  • 2003-03-19 → 2024-01-19
    Woodbury Financial Services, Inc.
    Minneapolis, MN
    Inver Grove Heights, MN
  • 2000-10-23 → 2003-02-25
    St, Paul, MN
Other Businesses

1) THOMAS PARK INVESTMENTS LTD POSITION: owner NATURE: LTD INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2005 ADDRESS: 1240 S 2nd ST, 632, minneapolis MN 55415, United States DESCRIPTION: sales fixed insurance, this LTD business was recommended by my CPA for the the purpose of filing taxes only and protection from potential creditors, also this name is not held out to the public. 2) THOMAS PARK INESTMENTS, LTD POSITION: owner NATURE: "LTD"was recommended and extablished by my CPA for the purpose of filing taxes only and prorection from potential creditors. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2007 ADDRESS: 1235 yale place #1108, minneapolis MN 55403, United States DESCRIPTION: file taxes annually

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-30
S63 Uniform Securities Agent State Law Examination 1989-11-28
  • S65 Uniform Investment Adviser Law Examination
    1996-10-30
  • S63 Uniform Securities Agent State Law Examination
    1989-11-28
Other Names
  • Tom J Smith

View on SEC IAPD

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