Richard Gregory Nolan

Current Employers

Employment History

• 03/2001 → Present
  Icm
  Carlsbad, CA
• 01/2009 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Carlsbad, CA

Previous Registrations

• 2007-11-09 → 2023-09-01
  Osaic Services, Inc.
  Phoenix, AZ
  Carlsbad, CA
  Carlsbad, CA

Other Businesses

1) TRUST AND ESTATE PLANNING THROUGH CITADEL LAW OFFICE. POSITION: Statutory Agent - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2002 ADDRESS: 1902 Wright Place, Ste 200, Carlsbad CA 92008, United States DESCRIPTION: Trust and estate planning for clients through citadel law office. 2) INDEPENDENT CAPITAL MANAGEMENT POSITION: Statutory Agent NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2001 ADDRESS: 1902 Wright Place, Ste 200, Carlsbad CA 92008, United States DESCRIPTION: Financial Consultant 3) SD TAX ASSOCIATES POSITION: Other - Director with 100% ownership NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 15 START DATE: 10/31/2012 ADDRESS: 1902 Wright Place, Ste 200, Carlsbad CA 92008, United States DESCRIPTION: Tax Preparation Services 4) RICHARD NOLAN POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/16/2012 ADDRESS: 1902 Wright Place, Suite 200, Carlsbad CA 92008, United States DESCRIPTION: Preparing tax returns. 5) OPTUM INVESTMENT PARTNERS POSITION: board member NATURE: LLC INVESTMENT RELATED: Yes, NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/21/2022 ADDRESS: 2212 Carol View Drive, 103, Cardiff CA 92007, United States DESCRIPTION: provide accounting and tax consulting for the company. 1% shareholder. 6) RICHARD NOLAN POSITION: HOA Board Treasurer NATURE: n/a-volunteer position INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/25/2023 ADDRESS: 823 Blackstone Dr, San Marcos CA 92078, United States DESCRIPTION: Volunteer position to review community financials and work with other board members on various community issues. All board members are covered by directors' and officers' insurance. 7) FRY TECH LLC POSITION: Board Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 6184 Lorca Dr, San Diego CA 92115, United States DESCRIPTION: Provide accounting and tax consulting for the company, 3% shareholder. 8) SDTF INSURANCE POSITION: 100% owner NATURE: Insurance Agency for life and health insurance business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 12/16/2014 ADDRESS: 1902 Wright Place, Ste 200, Carlsbad CA 92008, United States DESCRIPTION: SDTF used for life and health insurance business.

Exams

• S66 Uniform Combined State Law Examination
  2007-02-13
• S63 Uniform Securities Agent State Law Examination
  2001-07-17