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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-04-16 |
| WI | RA | APPROVED | 2024-01-19 |
Branch Locations
5107 North Ballard Rd. Suite 200, Appleton, WI 54913 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Appleton | WI | 01/2024 | Present |
| Surprise Inc | Appleton | WI | 01/2001 | Present |
| United Securities Alliance, Inc. | Englewood | CO | 03/2001 | Present |
1) LEGACY INVESTMENT SERVICES INC. POSITION: Investment Advisor Representative NATURE: Fixed and Traditional insurance thru Legacy Investment Services, inc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2009 ADDRESS: 5107 North Ballard Road, Appleton WI 54913, United States DESCRIPTION: providing life insurance, fixed annuities and long-term care products. 2) DBA CRAIG SURPRISE POSITION: Agent NATURE: Sole INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2009 ADDRESS: 5107 North Ballard Road Suite 200, Appleton WI 54913, United States DESCRIPTION: Fixed insurance products 3) CRAIG SURPRISE RENTAL POSITION: owner NATURE: Duplex Rental INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1991 ADDRESS: w5962 daisy court, appleton WI 54915, United States DESCRIPTION: maintenance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-06 |
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