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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-06-06
CT RA APPROVED 2023-11-03
NC RA APPROVED 2023-11-03
  • TX RA
    APPROVED
    Since 2024-06-06
  • CT RA
    APPROVED
    Since 2023-11-03
  • NC RA
    APPROVED
    Since 2023-11-03

Branch Locations

603 N Main St, China Grove, NC 28023 • 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
Fsc Securities Corporation China Grove NC 01/2022 11/2023
Victory Wealth Management Inc. China Grove NC 02/2009 Present
Fsc Securities Corporation China Grove NC 01/2020 01/2022
Victory Wealth Management Inc. China Grove NC 01/2020 Present
Osaic Wealth, Inc. China Grove NC 11/2023 Present
  • 01/2022 → 11/2023
    Fsc Securities Corporation
    China Grove, NC
  • 02/2009 → Present
    Victory Wealth Management Inc.
    China Grove, NC
  • 01/2020 → 01/2022
    Fsc Securities Corporation
    China Grove, NC
  • 01/2020 → Present
    Victory Wealth Management Inc.
    China Grove, NC
  • 11/2023 → Present
    China Grove, NC
Previous Registrations
  • 2009-02-27 → 2023-11-03
    Fsc Securities Corporation
    China Grove, NC
    China Grove, NC
  • 2007-04-27 → 2009-02-27
    Advantage Capital Corporation
    China Grove, NC
Other Businesses

1. VICTORY WEALTH MANAGEMENT, INC.,NO,603 N MAIN STREET CHINA GROVE, NC 28023, AGENT,03/07/2007,5,5,PROCESSING NON VARIABLE INSURANCE APPLICATIONS. 2. CATHY FOSTER POSITION: Insurance Agent NATURE: Insurance Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/07/2007 ADDRESS: 603 N. Main Street, China Grove NC 28023, United States DESCRIPTION: Providing term, non-variable and Medicare Supplement quotes to clients. Completing insurance applications. 3) VICTORY WEALTH MANAGEMENT, INC. POSITION: Other - Admin Rep/Office Manager NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 148 SECURITIES TRADING HOURS: 130 START DATE: 03/07/2007 ADDRESS: 603 North Main Street, China Grove, NC 28023, China Grove NC 28023, United States DESCRIPTION: Client contacts, assisting with review process, Office Manager 4) CATHY S. FOSTER, NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/10/1995 ADDRESS: 220 McIntosh Lane, Salisbury NC 28147, United States DESCRIPTION: Notarize documents for clients.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-25
S63 Uniform Securities Agent State Law Examination 2000-10-23
  • S66 Uniform Combined State Law Examination
    2007-04-25
  • S63 Uniform Securities Agent State Law Examination
    2000-10-23
Designations
Other Names
  • Cathy Lynn Swearingen
  • Cathy Lynn Swearingen
  • Cathy Swearingen Foster
  • Cathy Foster

View on SEC IAPD

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