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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-11-18
CA RA APPROVED 2020-11-06
  • WA RA
    APPROVED
    Since 2020-11-18
  • CA RA
    APPROVED
    Since 2020-11-06

Branch Locations

10900 Ne 4Th Street Ste 2300, #2413, Bellevue, WA 98004 • United States

Seattle, WA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hornor Townsend & Kent Inc Horsham PA 04/2007 11/2020
Penn Mutual Life Ins Co Horsham PA 04/2007 11/2020
Pacific Capital Bellevue WA 04/2007 Present
Royal Alliance Associates, Inc. Bellevue WA 11/2020 Present
  • 04/2007 → 11/2020
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 04/2007 → 11/2020
    Penn Mutual Life Ins Co
    Horsham, PA
  • 04/2007 → Present
    Pacific Capital
    Bellevue, WA
  • 11/2020 → Present
    Royal Alliance Associates, Inc.
    Bellevue, WA
Previous Registrations
  • 2007-06-07 → 2020-11-18
    Bellevue, WA
  • 2006-03-27 → 2006-12-15
    Palisades Investment Advisors, Inc.
    Los Angeles, CA
Other Businesses

1) FRIENDS OF LAURELHURST FOUNDATION POSITION: Board Member NATURE: 501(c)(3) neighborhood foundation raising funds for the Laurelhurst Elementary School. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2018 ADDRESS: 5424 Sand Point Way NE, Seattle WA 98105, United States DESCRIPTION: Attend board meetings every other month to discuss fundraising efforts and areas of need for the elementary school 2) PACIFIC CAPITAL RESOURCE GROUP POSITION: Insurance Agent NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 6 START DATE: 04/01/2007 ADDRESS: 10900 NE 4th Street, Suite 2300 #2413, Bellevue WA 98004, United States DESCRIPTION: Insurance services for life and disability 3) FRED HUTCH PROFESSIONAL ADVISORY COUNCIL POSITION: Council Member NATURE: Advisory council for the Fred Hutchinson Cancer Research Center. Non Profit. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2017 ADDRESS: 1100 Fairview Ave N, Seattle WA 98109, United States DESCRIPTION: Attend quarterly council meetings to learn about research at the Hutch and discuss fundraising efforts. 4) ARIZONA RENTAL PROPERTY POSITION: Owner NATURE: Rental Property. Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2021 ADDRESS: 6501 East Claire Drive, Scottsdale AZ 85254, United States DESCRIPTION: Listing our home for rent on VRBO and/or Zillow. 5) CLIFFORD NORD LIVING TRUST POSITION: No position NATURE: My uncle Cliff Nord passed away in 2019 and he named myself, my sister, and my two cousins as beneficiaries to his estate. This included duplexes in Fort Worth TX and his home in Kansas City. None of these properties have been sold and all are being rented. They are still held in the trust at the recommendation of the cpa and I have zero involvement with the management or operations of the properties or the trust but we do receive a K1 each year for rents received. I have listed the address of one of the duplexes as the business address and my cousin Sarah Rogers' phone as business number as she is the only beneficiary who has any involvement with the duplexes in the trust. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2019 ADDRESS: 200 Clearwood Dr, Fort Worth TX 76108, United States DESCRIPTION: I have no duties or responsibilities. I was informed recently that I should include this on my oba as passive and uninvolved as it may be. My involvement is just being one of the 4 beneficiaries of the trust.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-03
S63 Uniform Securities Agent State Law Examination 2001-01-12
  • S66 Uniform Combined State Law Examination
    2006-03-03
  • S63 Uniform Securities Agent State Law Examination
    2001-01-12
Other Names
  • Colin M Campbell
  • M. Colin Campbell

View on SEC IAPD

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