Harriet Knight Chase

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-06-10
HI	RA	APPROVED	2023-01-24
WY	RA	APPROVED	2022-09-07
MT	RA	APPROVED	2022-09-06

FL RA
APPROVED

Since 2024-06-10
HI RA
APPROVED

Since 2023-01-24
WY RA
APPROVED

Since 2022-09-07
MT RA
APPROVED

Since 2022-09-06

Branch Locations

118 S. Jackson Street, Casper, WY 82601 • United States

Belgrade, MT • 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

Organization	City	State	From	To
Securities America, Inc	Cheyenne	WY	02/2010	09/2020
Securities America Advisors, Inc	Cheyenne	WY	02/2010	09/2020
Planmember Securities Corporation	Carpinteria	CA	09/2020	09/2022
Aspen Grove Advisory Group, Llc	Belgrade	MT	07/2020	Present
Harriet K. Chase (Self Employed)	Belgrade	MT	02/2010	Present
Casavy Health Solutions Dba Pkt Multivitamin	Belgrade	MT	10/2018	Present
Steven A. Chase And Harriet K. Chase	Belgrade	MT	02/2003	Present
Royal Alliance	Belgrade	MT	07/2022	Present

02/2010 → 09/2020

Securities America, Inc

Cheyenne, WY
02/2010 → 09/2020

Securities America Advisors, Inc

Cheyenne, WY
09/2020 → 09/2022

Planmember Securities Corporation

Carpinteria, CA
07/2020 → Present

Aspen Grove Advisory Group, Llc

Belgrade, MT
02/2010 → Present

Harriet K. Chase (Self Employed)

Belgrade, MT
10/2018 → Present

Casavy Health Solutions Dba Pkt Multivitamin

Belgrade, MT
02/2003 → Present

Steven A. Chase And Harriet K. Chase

Belgrade, MT
07/2022 → Present

Royal Alliance

Belgrade, MT

Previous Registrations

2020-09-18 → 2022-10-12

Planmember Securities Corporation

Belgrade, MT

Belgrade, MT

Carpinteria, CA

Casper, WY
2013-06-21 → 2020-09-22

Securities America Advisors, Inc.

Belgrade, MT
2010-01-21 → 2010-02-18

Valic Financial Advisors, Inc.

Fort Collins, CO

Fort Collins, CO

Other Businesses

1) Aspen Grove Advisory Group, LLC-196 Antelope Ridge Rd., Belgrade, MT 59714; Investment related; Securities, Insurance & Financial Planning Sales & Services; Owner; Start date 7/2020; 160 hrs/mnth & during trading. 2) Harriet K. Chase (self employed) - 196 Antelope Ridge Rd., Belgrade, MT 59714; Investment related; Insurance (life, long-term care, disability, fixed indexed annuities) sales & services; Owner; Start date 2/2010; 5 hrs/mnth & during trading. 3) Casavy Health Solutions dba PKT Multivitamin -196 Antelope Ridge Rd., Belgrade, MT 59714; Noninvestment related; Vitamin & supplement business; Co-Founder, CEO; Start date 10/2018; 12 hrs/mnth; 4 hrs/mnth during trading. 4) Steven A. Chase and Harriet K. Chase- 196 Antelope Ridge Rd., Belgrade, MT 59714; Noninvestment related; Single-home rental property; Co-owner; Start date 2/2003; 5 hrs/mnth; 0 hrs/mnth during trading. 2) ASPEN GROVE WEALTH MANAGEMENT,LLC POSITION: Founder NATURE: DBA Disclosure Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2020 ADDRESS: 196 Antelope Ridge Rd., Belgrade MT 59714, United States DESCRIPTION: DBA Disclosure Only 3) ASPEN GROVE WEALTH MANAGEMENT LLC POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 05/27/2000 ADDRESS: 196 Antelope Ridge Rd., Belgrade MT 59714, United States DESCRIPTION: Insurance Illustrations, Insurance analysis, Insurance sales

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-01-20
S63	Uniform Securities Agent State Law Examination	2000-12-18

S65 Uniform Investment Adviser Law Examination

2010-01-20
S63 Uniform Securities Agent State Law Examination

2000-12-18

View on SEC IAPD